N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles S. Pope and Elizabeth M. Pope 93-02434 Name of Respondent Prudential Securities Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1993, Claimants Charles S. and Elizabeth M. Pope who appeared ProSe, alleged that on September 1, 1987, they purchased from Respondent P

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimants Dr. Howard Freedberg, Debra Freedberg, Dr. Julian M. Joffe and Dr. David A. Hoffman and 93-02427 Name of Respondents Sussex Financial Group, Inc. and Marvin Heiman REPRESENTATION OF PARTIES Dr. Howard Freedberg, Debra Freedberg, Dr. Julian M. Joffe and Dr. David A. Hoffman ("Claimants") were represented at the hearing by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) IMHll^TRY PaineWebber, Inc. 93-02425 Name of Respondent(s') Raymond J. Smith REPRESENTATION For Claimant PaineWebber, Inc: Edward P. Degenhardt, Esq., Weehawken, NJ. For Respondent John E. Lawlor, Esq., Garden City, NY. CASE INFORMATION Statement of Claim filed: June 18, 1993. Claimant's Submission Agreement signed o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Chester B. Pauls Margaret T. Pauls vs. Case # 93-02420 Name of Respondents Waterhouse Securities, Inc. Claimant appeared pro se. For Respondent: James J. Coster, Esq. of Satterlee Stephens Burke & Burke, New York, NY. CASE INFORMATION Statement of Claim filed: June 15, 1993. Claimant's Submission Agreement signed on: J

v N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ahmed Hussein 93-02419 of Respondents Advest, Inc. MML Investors Services, Inc. Darrell C. Claytor REPRESENTATION For Claimant Ahmed Hussein ("Claimant"). Andrew J. Crites, Attorney at law For Respondents Advest, Inc. ("Advest"), MML Investors Services, Inc. ("MML") and Darrell C. Claytor ("Claytor"): Daniel L. Sc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles W. Flume, D.D.S., S.C., Defined Benefit Plan; Charles W. Flume, D.D.S., S.C., a Wisconsin professional corporation; Dr. Charles W. Flume; Nancy Flume. 93-02415 Name of Respondents Hayne, Miller & Farni, Inc.; James D. Peterson REPRESENTATION For Claimants: Charles W. Flume, D.D.S, S.C., Defined Benefit Plan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant s) Kenneth S. and Barbara B. Say well 93-02410 Name of Respondent s) Bear Stearns & Company Lawrence S. Rule REPRESENTATION For Claimants Kenneth S. Sayweil and Barbara B. Saywell ("Claimants"): Stephen M. Bales, Esq. of Ziegler, Metzger & Miller, Cleveland, Ohio. For Respondents Bear Stearns & Company and Lawrence S. Rule

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIOTffiS DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia Harter vs. NASD #93-02404 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Donna Bloom For Claimant: Claimant appeared in pro per. For Respondents: Stephen M. Bales, Esq., Ziegler, Metzger & Miller, Cleveland, Ohio CASE INFORMATION Statement of Claim filed: June 18, 1993 Claimant's Submission Agre

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 93-02396 Name of Respondent Mark I. Caithness REPRESENTATION For Claimant. ("PaineWebber, Inc.") ("P.W."): Luther M. Dorr, Jr., Esq. of Maynard, Cooper & Gale, P.C., Birmingham, Alabama. For Respondent: James D. Gibson, Esq., of Dunlap, Moran & Lopez, P.A., Sarasota, Florida. CASE INFORMATION State

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03704 Patricia A. Donald, Claimant vs. American Express Financial Advisors, Respondent. ATTORNEYS: Claimant, Patricia A. Donald, ("Claimant"), appeared Pro Se, Columbia, MO. Respondent, American Express Financial Advisors, ("Respondent"), appeared through its Vice President and Group Counsel Gary R. Irwin, Esq., Minneapolis, MN. DATE FILED: August 24, 2000. CASE SUMMARY: Claimant a