Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. McCall, Claimant v. CapBay Financial Services, Respondent Case Number: 00-04541 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Stephen Porter, Esq. Whitchead, Porter & Gordon LLP 220 Montgomery Street Suite 1850 San Francisco, CA 94104 Steven Benjamin, Esq. ''• or He 3620 American River Drive Sacntthento, CA 95864 :—:-•

Arbitration N.A.S.U. AWAKLJ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between flame of Claimant Laurence J. Luckman 90-02929 Name of Respondents Prudential Bache Securities, Inc. Glenn Mallof f National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: For Respondents: Gail Whittemore, Esq. of the law firm

N.A.S.D. 2MBBD VKTICSKL AS90CCKTHV OF SECURITIES Tn t-ho Mil 1 «•• eyf +•!*» A¥*rL*-iratH of 90-02924 of , Inc. B. CreaL For Claimant: George G. Mahfood, Esq. of Specter law offices, P.C. For Rfifipondfints: William S. Sttdth, Esq. of Pietragallo, Basic* & Gordon CRSE filed a Stateoait of na-i" on October 17, 1990 and signed a Submission Agreement on October 12, 1990. Respondents Advest, Inc. and Christopher Creal filed a joint S

Arbitration N.A.S.D. AWARD NRTICUAL ASSOCIATION OF In the tfctter of the Arbitration Betucm Name of Jeazmette Akers vs. Case * 90-02919 PadneNetber, Inc. Sean Dillcn National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 f Egg, fran the For Claimant, Jeamette Afcers ("Claimant") , Alan E. law firm of lane & Altznan. For Respond

NJUS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES CEMERS In the Matter of the Arbitration Between JAMES R. TAMER OTHHIA J. TANNER Claimant NASD NO. 90-02916 and FWJCEOTIAL SECURITIES, DC. CHARL£S R. REID SHLURIT1ES, INC. n/k/a Respondents CF PMOTES Claimants James R. Tanner and Cynthia J. Tanner were represented by Michael P. Bishop, Esq. of Bishop, Smith & Bishop, Indianapolis, Indiana. Respondent Prudential Bache Securities,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Donald Wexler x Claimant r x x CASE NO. vs. x 90-02915 x Shearson Lehman Hutton, Inc. x AWARD x Respondent. x x CASE SUMMARY Claimant, Donald Wexler ("Wexler"), alleged that the Respondent, Shearson Lehman Hutton, Inc. ("Shearson")/ mishandled his Keogh account in that Shearson caused the transfer funds to his account to

N.A.S.D. AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Scott W. and Salome Z. Johnson 90-02914 Ttomo nf Poanrinrtonl-f g } PaineWebber, Inc. James Grotz Claimants Scott W. and Salone Z. Johnson were represented by Gregory L. Wilmss, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondents Painewebber, Inc. and James Grotz ware represented by Edward G. Werner, Esq. and Pa

N.A.S.D. AWARD NATIONAL ASSOCIAXICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaiTnants Dennis H. and Kathy D. Standridge 90-02902 Name of Respondents Tjahman Button, ISC. Basil Hoag and Unidentified employees or representatives of Shearson trainman Brothers, Inc. For Claimant: W, Kirby Lockhart, Esq., of Mitchell, Williams, Selig & Thicker. For Respoodents: Scott E. Daniel, Esq. of iriibur", naijinnn,.

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Bet^eri ) ) Name of Mack Alexander o Dean Witter Reynolds, Inc. Charles Hershtovitz National Association of Securities DeaJen, Inc. One East Sroward Boulevard Suite 1000 Ft. LauderdaJe, Florida 33301 (305) 522-7391 Case No.90-02900 For Clainent, Ifeck Alexander ("Alexander"): DTD For Respondents, Dean Witter Reyn

N.A.S.D. AWARD ASSOCTOTCN OF j-iMimi'i'iiag DERIVES In the Matter of the Arbitration Between Of Rphwra S. Red 90-02897 Name of Respgnfjgits thcnas F. White &. Co. Inc.; Stephen H. Gunnels Fbr Claimant: pfJwv** S. Bed was represented by Andrew R. Harvin, Esq. of Doyle, Reed, Restrepo, Barvin & Rabbins, located in Houston, Texas. For Respondents: annas P. White & Co., Inc. and Stephen H. Gunnels ware represented by Patrick Baldwin, Esq. of