NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Colby D. Fisher Claimant CASE #92-00108 vs. AWARD Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 10, 1992, Claimant Colby Fisher, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. withheld part of his salary that was to be paid to hi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons,Inc. Case No. 91-04115 Name of Respondent Roger N. Kreuzer REPRESENTATION For Claimant, A.G. Edwards & Sons, Inc. ("A.G. Edwards"): Clay L. Grumke, Esq. of A.G. Edwards & Sons, Inc. For Respondent, Roger N. Kreuzer ("Kreuzer"): Pro se. CASE INFORMATION Statement of Claim filed: December 30, 1991, and a

Arbitration NKnCWM. ASSOCIftnCII CP SBCDRITIES DEAISSS \ - f " NASDRnaSScentof^ 33 Whitehall Sitreet In the Matter of the Arbitraticn Between New York. N.Y. 10004 FAX (212) 658-4389 Naane of tTlalrmrTt PaiiieHd±)er, Jnc. 91-04044 Ifame of Respaadent Clifford Raab For Clainant; Sllyse A. Mrian, Esq. of Painewebber Incorporated. For Respondant: Clifford A. Raab, Pits Se. rtf!R TWBmttTTgj Statement of Claim filed: Deceniaer 19, 1991.

Case No. 91-03404 N.A.S.D.AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claixnafitrs) J.W. Charles Securities Inc. Name of RestMDndentrs) Philip Horowitz REPRESENTATION For Claimant, J.W.Charles Securities Inc. ("J.W. Charles"): Charles E. Scarlett, Esq. of J.W. Charles. Bkr Respondent, Philip Horowitz ("Horowitz"): Arnold Y".Steinberg, Esq. CASE INFORMATION Statement of Claim fded: O

Arbitration ® 'J.A.S .Z. AWARD jIATICNAL ASSOCIATICN CF SECURITIES "DEALERS National Association of Securities Dealers, Inc. NASD Rnancial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In cr.e Mantier cf ~.-e ArbiLrat::.on Bsnween Name c f 1 a i rr.a n r Coreen M. -rav CASE ;t91-03297 Cean Wither .^-eyncids. _-c. Serr^/ ThoniDSon Zsa. cf Munro and Mark v/erder of ?,EPR£SENTATICN For :iaimant

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Ohio Company 95-02633 Names of Respondents Richard Quest Susan Quest REPRESENTATION For Claimant The Ohio Company ("TOC): Marion H. Little, Esq. of Zeiger & Carpenter, Columbus, Ohio. For Respondents Richard and Susan Quest ("The Quests"): Geralyn Noonan, Esq. of the Law Offices of Maria Drumm, Fort Myers, Flo

J NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INC. In the Matter of the Arbitration Between Millie Ann Chue Claimant © National Association of Securities Dealers, Inc. All Rights Reserved V. NASD Arbitration No. 95-02625 Olde Discount Corporation Chad Winn Jeff Votruba Respondents REPRESENTATION OF PARTIES Millie Ann Chue (" Claimant") represented herself pro se. Olde Discount Corporation, Chad' Winn, and

N.A.S D. AWARD NATTONAL ASSnrTATTON OF SFCTmTTTFS DFAT.FRS. TNC In the matter of the Arbitration Between Name of Claimant Linda Rubin ©National Associaric- ot Securiues Deaiers, inc. All Rights Resenec NASD Arbitration No 95-02624 Name of Respondents Prudential Securities, Inc. and James P» Somers REPRESENTATION For Claimant: For Respondent Prudential Securities, Inc. H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Ange

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Turner W. Branch ad Margaret Moses Branch, Claimants Case Number:- 02-04564 Salomon Smith Barney, Inc., n/k/a ( Hearing Site: Albuquerque, New Mexico Citigroup Global Markets, Inc., David E. Crosby and Tylen L. Kattenhom, Respondents NATURE OF THE DISPUTE Customer vs. Member Firm and Associated Person REPRESENTATION OF PARTIES Claimants, Turner W. Branch a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant(s'> ^ Green Machine Mgmt, Corp, Name of Respondentfs') Josephthal Lyon & Ross Inc. Steven J. Kowitski 95-02736 c © National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION For Claimant, Green Machine Mgmt, Corp. ("Green Machine"): Mitchell T. McRae, Esq. For Respondents, Josephthal Lyon