N.A.S.D. AWARD NXTICNftL AflSfYTraTrrw OF SECDRITIES DEALERS In the Matter of the Arbitration Between Of Carol Ford NASD Arbitration No. 90-02829 of Resoonripnt PmrlFTiHal-Bache Securities, Inc. Charles G. Salisbury Frucc ScCuriLicaS Coipoiacicai Tbe Prudential Tngitr-anc 0 Ccnpany Badri Gleason For dainant: Jeffrey M, Jones, Esq. - law Office of Archibald M. Mall, IH, Sacramento , California For Respondents, p^Hon-Ma

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Leila Levinson -^n _ and 90-02827 Name of Respondents Choice investment Products, Inc., Forde D. Me Williams and Michael G. Acurf REPRESENTATION OF PARTIES Claimant Leila Levinson was represented by Patrick Lanier, Esq., Austin, Texas. Respondent Choice Investment Products, Inc. was represented by James S. Kaigin.

N.A.S.D AKHu:uvrixii OP SBCDBHIES Ufa I I Mr- Q£ t-lna a-r*Yii-rai"irn and 90-02825 Brian GoldsMorthy, Young, &ti.t3i & Peacock, Xac*, Prudential -Bache Securities, IDC. eg Claimant Angela Barton appeared and was represented by Frank Lewis, Esq. of langerman Begam Lewis & £&rks, Phoenix, Arizona. Respondent PrwtonHai -H»rf» appeared and was represented by Carlos Ricca, Esq. of Prudential -Bache, Hew York, New York. Young, Smith & Peacock, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; r Erna R. Tallman r Claimant ; CASE fr90-02820 vs. ; AWARD r Merrill Lynch, Pierce, Fenner & Smith, Inc. ; Ray Morton ; / Respondents ; CASE 5UMMAKY Claimant Erna R. Tallman, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1990, alleged that Respondents Merrill Lynch, Pierce, Fenner

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration JEANNE RALPH and PAINEWEBBER, INC. Claiitant ARBITRATION-CHICAGO Respondent Claimant was represented by T. Tarry Beasley f II, Esq. of Maiphis, Tennessee. Respondent was represented by Edward G. Werner, Esq. of PaineWebber, Inc. p New York f New York. In a Statement of Claim filed with the National Association of Securities De

V N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) ) Name of Claimant(s] ) ) Douglas & Denise DeRocker ) ) ) ) Name of Respondentfs1 ) ) Charles Schwab & Company, Inc. ) Case No. 90-02817 Claimants, Douglas R. and Denise L. DeRocker ("the DeRocfcsrs"): were pro se. For Respondent, Charles Schwab & Co., Inc. ("Schwab"): Walter Schieman of Charles Schwab. Statement

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Caplan, Power of Attorney for Maria B. Caplan, AristaQuest, Inc., and AristaData, Inc., (Claimants) vs. Merrill Lynch Pierce Fenner & Smith, (Respondent) Case Number: 00-04531 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David Caplan, Power of Attorney for Maria B. Caplan ("Caplan"), AristaQuest, Inc. ("AristaQuest"), and AristaData, Inc. ("Arist

Aflaqcarxow or sauuRiTiig t*e Matter of the Arbitratica BetoSS Arbitration National Aaaoafatton of Stourttltt Oaalara, Ino. NASD Financial Cantor 33 Whitehall Street Now York, Naw York 10004 M3K Color, inc., Retirement Tiuat Color Product* 90-02814 Beatr Sttaxxu ft Ccnpaxry Gary R, TaUten Simon K, Schaffler , Groland, Tanaobaum for Reape&datttai Jtaea M. Hubbtet, Eaq. of Bear Stattxzu & Oa., Sac. SUtenant of Claim fil

® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALSIS la the Matter of the Arbitration Between Name of Robert Dunham Name of Rpflnoryiait (s) U.S. Advisors, Inc. Artrttnrtten National Association of SccurttiM D**i*f», Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-02813 Claimant, Robert Dunham ('Dunham"): ggo se* Respondent, U. S. Advisors ("U.S. Advisors"): Nona,

NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration __ National Association of Securities Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Name of 90-02807 Qnanuel Frankfort Name of ResoojTgjents : Dean Witter Reynolds, Inc. Sydney Lynn Faye Weiner For Claimant: Susan Perkins, Esq f Sole Practitioner. For Respondents: B