N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS - ' In the Matter of the Arbitration Between ( • .-s Name of Clainiant Painewebber, Inc. 92-00422 Name of Respondent Richard W. London REPRESENTATION For Claimant at the hearing: Elyse A. Adrian, Esq, of PaineWebber, Inc., Weehawken, New Jersey. For Respondent at the hearing: Mark Briol, Esq. and Gceg Wilmes, Esq, of Briol & Wilmes, Minneapolis, Minnesoca, CASE INFORMATION

jmnCNAL ASSOCIMTCN OF v^i-i-iiw I'i'i pg mraT.Trpg la the Matter of tbe Actjitracxcn Between tfame_gf Claimancs Allan & Lydia Cutler, Beacrlce Bachrach 92-00395 Mtarill Lynch Pierce Feoner & Smith Inc Sidney Kbgan Arbitra National ^Vssociatton of Securitleii Dealers, Inc NASD Rnancial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212)858-4389 ?or Claimancs: Mathaniel Ahbace. Esq. o£ Gazract Evans, P.C. For .Respnnripnt;

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Lillian Greenman, individual and as personal representative of Sidney Greenman : Claiinant CASE #92-00391 vs . AiOVRD Bear Stearns & Company, Inc. ^^Sf^tlii^T^t, CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1992, Claimant Lillian Greenman, vhc appeared Pro Se, alleged tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between John Shaw Claimant CASE #92-00390 vs . ANARD Shearson Lehman Brothers, Inc. Respondent In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 1992, Claimant John Shaw, througin his counsel, Edward S. Gelfand, Ssq. of Friedman .S: Phillips, Los Angeles, CA, alleged that Respondent Shearson Lehman Brothers, Inc. execute

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. ••••••• , In the Matter of the Arbitration Between Umias & Jacqueline Walker, JTWROS Claimants CASB $92-003B6 • AWUBD PaineWebber, Inc. Peter Petrosky Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 3, 19 92, Claimants Thomas & Jacqueline Walker, who appeared Pro Se, alleged that Respondents PaineW€sbber, Inc.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Stevens (Claimant) v. Park Avenue Securities, LLC (Respondent) Case Number: 02-04567 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Robert Stevens ("Stevens") hereinafter referred to as "Claimant": Dan Brecher, Esq., Law Offices of Dan Brecher, New York, NY. Respondent Park Avenue Securiti

N.A.S.D. REGULATION A WARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Katharina and James Britton Case No. vs. 95-01926 Name of Respondent (r- ivT;n„.,, . . . ^ = ^ iNa.iona! Association of S>ecuntie.s Dealers, In- Pruco Securities Corp. Ail Ri-iits Rsservtc REPRESENTATION For Claimants, Katharina and James Britton (collectively "Claimants") appeared David A. Mills, Esq. from the firm of Mills,

N.A.S.D. ASORD VKTIIOtaii ASSOCIMICW OF SHJJHl'i'iES DEALERS Tn tbe Matter of tbe Arbitzation Betweea Nag^o^najimmt 'l^SicaT'acif ic "Securities Oorporatian "^oBBa^Seaoon^nt ^SepE^Sci^SS^ NASD Arbitration No. 92-00261 For daiaant: Peter Blowitz Far Reepcndent: In Pro Se Statement of (TlaiTii filed: Januazy 24, 1992 Claimant's Subndssloa Agreement signed cn: Januazy 21, 1992 Statement of Answer filed by Reapcndent, cat Mazch 20, 1992

c N.A.S.D. ANAKD NATXCK&L ASSOdATiaT OF SECdSJ^TSS DEALERS In tbe Matter of tbe Aripltration Betaiem Name of CXaitiffrnt Heosley & Associates NaBne of Respcmrients David Duke Flnanffial, Inc. David Park 2IASD AzbitzaticEi Ho. 92-00224 For daiioant; H. Thnma Feba, Rsq. - Fields, Febn & Sberwin - los Angeles, Ca. For fiespondaits: David Alan Pazk , President, David Duke Financial, Inc. casB ramanangg Statastent of Claim filedt Januax

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Godfrey Penrod Bertha Penrod Karyn Penrod Claimants ©National Association of Securities Dealers, Inc. All Rights Reserved V. NASD Arbitration No. 95-01962 Merrill Lynch, Pierce, Fenner and Smith, Inc. Robert Holder Respondents REPRESENTATION OF PARTIES Godfrey Penrod, Bertha Penrod, Karyn Penrod (" Claimants;') were repr