NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Tuaha Mian Claimant vs. Donaldson Lufkin & Jenrette Securities, Inc. Smith Barney Harris Upham & Co., Inc. Sandy Jukel and Alain O'Hayon Respondents CASE* 8SL:;02626_ 89-02627 Heard before: Arnold Y. Steinberg, Esq. Harry Polansky Carl J. Hegner Public Arbitrator Public Arbitrator Industry Acbitrator CASE SUMMARY In sep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Leonora Resnick CfSi #88-03097 Margaretten Financial Group Ellen Margarett«i Hubeman Securities Corp. Michelin & Ccnijany, Inc. Paul E. Michelin In the Matter of the Aijbitration Between N«T» r>^ Cfa^jnantfs) Ruth PD8&1 Ellen Margaiettesi Margarettcn Financial Group Hubennan Securities Corporation Michelin and CO., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) PaineWebber, Inc. 95-00180 Name of Respondent's) Ben E. Boren REPRESENTATION For Claimant PaineWebber, Inc.: Scott Ratchick, Esq. and David L. Pardue, Esq., of the law firm of Hunton and Williams, Atlanta, GA. For Respondents Ben E. Boren and Blake Boren: Gerald S. Kline, Esq., Atlanta, GA. CASE IIVFORMATION Statements

SEP 25 '91 13:36 NASa D«pt. PoaHt" tirand fait transmittal memo 76711 * OIPIB«I * J Phono Viai Fax fit c^artiyi-Bu ^leixx Sept^nber 25r 1991 p.i Arbltralfon National Asaodatten o( SMurWM D««lar«, Inc. NASD Financial Center 33 Whitehall Straat Nftw York, New York 10004 Mr. Frank Lewie Langerroan, Begam Lawls & Miirks 111 West ftsnroG Street, Suite 1400 PhD«iiX/ AZ 85003-1787 Subject; NASD Arbitration Nuntjer 89

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Olde Discount Corporation 98-00693 Name of Respondents Oppenheimer & Co., Inc. Nicholis Vertucci Bruce Martin Tanis REPRESENTATION For Claimant Olde Discount Corporation ("Claimant") appeared Ron Kane, Esq., of the firm Gomberg Kane & Fischer, Ltd., located in Chicago, Illinois. For Respondent Oppenheimer & Co., Inc. ("Oppenheimer") appeared Richar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terry Carreon, Terry Carreon as Trustee for Linda Randolph Trust, and Terry Carreon as Trustee for Terry Walker Smith Trust (Claimants) v. Merrill Lynch Pierce Fenner & Smith, Inc. and Carol Bridges, (Respondents) Case Number: 00-02929 Hearing Site: Albuquerque, New Mexico REPRESENTATION OF PARTIES Claimant Terry Carreon, Terry Carreon as Trustee for Linda Randolph Trust,

Award NASD Dispute Resolution In the Matter ofthe Arbitration Between: Vanguard Capital, Inc. (Claimant) v. Jean A. Vitale, Jean A. Vitale IRA (Respondents) and Jean A. Vitale and Jean A. Vitale IRA (Claimants) v. Vanguard Capital, Inc. Case Number: 01-00376 (consolidated w/QI-06335)Hearing Site: Boston, Massachusetts Nature of the Dispute: (01-00376) Member v. Customers. (01-06335) Customers V. Member. REPRESENTATION OF PARTIES 01-00376 Claim

N.A.S.D. AWARD NATIONAL ASSOrTATTON OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Cl^jpy^nfyCounter-Respondent Merrill Lynch Pierce Fenner & Smith, Inc. Name of Rfgpnndems/Counter-Claimants Rochelle Atlas Maize and Justin Steers Name of Third-Panv Respondent Jeffrey W. Durkee NASD Arbitration No. 94-05250 and 95-00441 Consolidated Cases REPRESEI£EAimM For Ciaimant/Ccuiiter-Respondent Merrill Lynch Pierce

Case No. 98-00691 AWARD V NASD Regulation, Inc. In the Matter of the'Arbitration Between Name of Claimants John J. and Gina A. Fanelli Name of Respondents Victor Baker First United Equities Corp. REPRESENTATION John J. Fanelli and Gina A.Fanelli ("Claimants") appeared pro se. Victor Baker ("Baker") did not appear. First United Equities Corp. ("First United") did not appear. CASE INFORMATION Claimants' Statement of Claim w

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Catherine Brown, Claimant, vs. No. 95-00578 Bank of America Investment Services, Inc., and Robert Scott Thorns, Respondents. and Consolidated Angeline S. Pappas, Claimant, vs. No. 95-00596 Bank of America Investment Services, Inc., and Robert Scott Thorns, Respondents. REPRESENTATION OF PARTIES Catherine Brow