N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank L. Agron No. 91-01408 Name of Respondent PaineWebber, Incorporated REPRESENTATION OF PARTIES For Claimant: Gordon D. Gee, Esq., of Seigfreid, Bingham, Levy, Selzer & Glee,Kansas City, Missouri. For Respondent: James Edgar, Esq., of Bc;^an Cave, Kansas City, Missouri. CASE INFORMATION Statementof Claim filed: May 3,

c NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. mmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmm In the Matter of the Arbitration Between : Dean Witter Reynolds, Inc. Claimant CASE «9B-00655 . • ASiKBD • John Donahue Respondent CASE SI3MMARY Dean Witter Reynolds, Inc. by their attorney, 8, Carol Hoffman, Esq. , in a claim filed with the National Association of Securities Dealers, Inc, on February 28, 1991, alleged that Respon

NA.S.D. AWRBD NKnCNAL ASSOCIATICN OF SECDRITIES DEALERS In the Matter of t±e Azbitration Between Planned Investments, Inc. Claimant V. 91-01395 Tarry D. Tate Respondent For Claimant: David M Greenberg, Flag. ^ Oae Bnbarcadero Center, Suite 880, San Francisco, CA 94111 For Respondent: Tarry J. C^^Esq., Larry J. Cox & Associates, 1900 Fijsrt V>^^\% Suite 270, SsoaT-B^SI CA 95815 C3tSB TXBCaaenxxi statement of Claim filed: 3, 1991 Cla

N.A.S.D. iVHARD NKnOAL ASSCXHmCN OF SECURmES DEAIZRS In tha Msttoc of the Arbitration BetMsen Staoi 6 CcB(>any Inc. ^nSett^SiordfLanbardi 91-00626 For ClaiiiBBRtt [Douglas W. Oabome For Respcsndent: Willidn StocJoer, Esq. Statement of Clain filedt February 26, 1991 Claimant'a «giih»< —inn ftijiijiiwinr signed on: February 20, 1991 Statenant of AIMMHT filed by nwnrHIwif, ont May 29, 1991 PxB-Haaring Oonfagoanoe x Nona Haaring Oatas/Sa

c NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant CASE #91-00519 . • AWARD Timothy Hodgens Respondent : CASE SUMMARY Dean Witter Reynolds, Inc. by their counsel B. Carole Hoffman, New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on February 15, 1991, alleged that Respondent, Timothy Hodgens, a former account executive w

Stipulated Award RtCEf NASD Dispute Resolution »HAfi-q A In the Matter of the Arbitration Between: •-•---- < u,i & ^SC^cs^r Klava Cousin, Claimant v. Roman L. Reznik, Interfirst Capital Corporation, and First Allied Securities, Inc., Respondents Case Number: 02-04537 Hearing Site: Los Angeles, California Nature of Dispute: Customer v. Member Firms and Associated Person REPRESENTATION OF PARTIES For Claimant: H. Thomas Fehn, Esq. Fields, Fehn

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Janney Montgomery Scott, Inc. Case No. 00-02906 Master Case Consolidated with Case No. 00-04989 Steven M. Glass Hearing Site: Philadelphia, Pa In the Matter of the Arbitration Between Steven ML Gass Case No. 00-04989 Subordinate Case Cofisolidated with Case No. 00-02906 Janney Montgomery Scott, Inc. Steven J. Kramer PAPTTV Janney Montgomery Scott, In

N.A.S.D. AMAKD N2UnCNAL ASSOdATICN OF aBJUklTlES nmTJBPfi \ III tha Matter o£ the Azbitratioa Nag^^^^adgagt ^ BedjacWcbber, Inc. 91-00406 NaoB of RBSDcodent C IIBLK D. Bocpe For daisBnt: Patrick Hbwley, Esq. of PadneMiebber, Incozporated. For Re^xxident: David A. Gortkxi, Esq. Statanent of claim filed: February 8, 1991. Claimant's Submlsslco Agreement signed on: January 30, 1991. Statement of Answer filedjby Pir^pcrrient cn: May

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS hi tlie Matter of the Arbitration Between Name of Claimani Samuel D. Milliean .Name of Respondents (^Ide Discount Corporation ()lde Financial Corporation Ernest J. Olde 91-00271 Arbrt ration National Association of Securities Dealers, Inc. NASD Financial Center, 33 Whitehall Street ' New York, N.Y. 10004 FAX (2121858-4389 REPRESENTATION For Claimant: Dennis D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc. Claimant vs . Carr Securities Corporation Respondent CASE #91-00221 AWARD CASE SUMMARY A.G. Edwards & Sons, Inc., represented by their counsel, W. Woody Schlosser, Esq., in a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1991, alleged that Respondent Carr Securities Corporation, spec