NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration .Between Charles E. and Ruth M. Rigga Claimants vs. Charles Schwab and Company Respondent Case *90-02861 AWARD r.ASE SUMMARY Charles E, and Ruth M. Riggs, Pro Se, in a claim filed with the National Association of Securities Dealers , Inc. on October 15, 1990 , alleged that Respondent, Charles Schwab and Company 'failed to respond to their attempts to di

NASD N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s\ Karr Ellis & Co. Inc. 90-02855 Name of Respondentfs\ State Mutual Life Assurance Co. of Am. SMA. Life Assurance Co. of America SMA Equities, Inc. James L. Weimar, Sr., CLU James L. Weimar, Jr. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street

N.A.S.D. AWARD KATIONAL ASSOCIATION OF SECURITIES DEALERS 1 _. — i In the Matter of the Arbitration Between , Name of Bowen, Miclette & Descant, Inc. 90-02854 Name of Respondent? s) Shearson Lehman Hutton, Inc. Paul C. Davy For Claimant: Bcwen, Miclette & Descant, Inc. was represented by Nancy Wilson Hargrove, Esq. and Robert S. Maclntyre, Jr., Esq. of Baker, Brown, Sharman & Parker, Houston, Texas. For Respondent: Shearson Lehma

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Batter of the Arbitration_Between } } Dev Tyagi ) Jessie Tyagi, and ) Rameshwari Tyagi ) Claimants ) ) AWARD vs. ) ) NASD #90-02852 Charles Schwab & Co., Inc. ) Respondents ) _) REPRESENTATION Claimants were represented by M. Paige Mitchell, Esq., of Karr, Tuttie, Campbell, Seattle, Washington. Respondent was represented by Robert Baronsky, Esq., of Beresford

N.A.S.D. AWARD NKTICNRL ASSOCIATION OF SECURITIES DEALERS, In the Matter of the Arbitration Between Name of Claimants Andreadis Elef therios Andreadis Modified Award 90-02848 Mams of Respondents Merrill Lynch Pierce Fenner & Smith, IDG. Clifford Burke For Claimants: Tbonas J. Fieger, Esq. of the law firm of Cherry Ferrara Mutzel Belefonte McFadden and Wesner. For Respondents: Michael E. Olney, Esq. QftSE INPCKMBT1CN Statement

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04532 John K. Folson, claimant vs. National Discount Brokers, respondent. ATTORNEYS: Claimant, John K. Folson, ("Claimant"), appeared Pro Se., College Park, GA. Respondent, National Discount Brokers, ("Respondent"), appeared through its Compliance Manager, Richard Cadigan, Jersey City, NJ. .j DATE FILED: October 12, 2000 CASE SUMMARY: Claimant alleged that he owned HNCSV stock

N.A.S.D. AWARD N&TICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration fietoreen Claimant(s) 90-02842 and SHEARSQN LEHMAN BROTHERS, INC. f/k/a SHEARSCN LEHMAN HOTTCN, INC. and M.E. "DOC" COOK Respondent (s) 9 Claimant Janes H. Oliver was represented by John K. Eggers, Esq. of Abe & Fox, Chicago, Illinois. Respondents Shearson Lehman Brothers, Inc. f/k/a Shearson Lehman Button, Inc. and H.E. "Doc" Cook were represe

N.A/5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PtTBtFC Qf James S . Zigmont 90-02838 Name of Respondent Chris Elder For Claimant James 3. Zigmont: appeared Pro Se. For Respondent Chris Elder: Patrick James, Esq. of the Law Firm of Hopkins & James, P. A. CRSB TWPORMKTION Statement of Claim filed: October 11, 1990. Claimant's Submission Agreement signed on October 5, 1990. Amended

Arbitration tf.A.S.D. AWARD p.) NATIONAL. ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Stephen Jaeger 90-02836 Name of Respondent (s) Alex. Brown & Sons, Inc. Robert LeBeau National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: Thrmas P. MsKeown, Esq. of Bonistalli & McKeown

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C. Kenneth Carlson ty David Carlson , 90-02832 Painefrfebber, Inc. Matthew Yonaily For Claimant: Andrew J. Kinstler, Esq., of Helsell, Fetterman, Martin, and Hofcanson For Respondents: Judy Louie, Esq. of PaineWebber, Inc. Statement of Claim filed: October 11, 1990 Claimant's Submission Agreement signed on: January 24, 1991 Stat