NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber, Inc. Claimant CASE #91-00119 vs . AWARD Manny Puga Respondent : CASE SUMMARY PaineWebber, Inc. by its counsel Joseph F. Generelli, Weehawken, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on January 9, 1991, alleged that Respondent Manny Puga failed to pay a debit balance in his customer account. Claim

NASa M.A.Q.D. .AiftRD NATION?\L ASSOCIATICN OF SECURITIES DEALERS In the ]Vfelfer of 1ihe Arbitration Betv«en tjgflg of Claimants Haxvey Israel 91-01323 Name of Resiy^nctentfs) Smith Barney Harris Uphara & Co., Inc. Aitttrctkm National AMOciatkM of S«curraat 0«al«rt, Inc. NASD RnanciaJ Center 33 Whitehall Slreet New 'fork, New Yorii 10004 Claimant, Harvey Israel appeared pro se. For Ko^TLixLit Smith Barney, Harris Upham & C

H.A.S.D. AMABD NAnCMAL ASSOCDOZCN OP SBCDSITIES DEAI£RS In the Matter of the Azbitzatlca BetMeeE PnlnnwpHiwr, Inc. V 91-01130 Jotm M. JobDSCDf Jr. For dainantt Soott M. Batchlck, Esq., FadjaeNetter, Inc., 725 South Figuecoa Street, 4l8t Floor, Los Aageles, Ok 90017 Fbr Raqpoodantt «Jotsi M. Jbtanscii, Jr. - la Pro Se, 15 liorth Michigan Stxeet, Badlands, CH 92373 Statanent of Claim filedt iipril 10, 1391 dainant'8 Sufbodssiaa Agraeoaat signed

11 N.A.S.D. AMARD HAnaOL ASSOCIATICM OF SWAIRITJIES DEAI£EtS In tbe Hatter of tbe Axbltraticsi Betstfeea Titan/Value BEjuitles GaxK^, Inc. 91-00804 JcEiatban Alan & Go., Ilic. Par dadJDBnt: G. TbcDBS FleocLng, Esq. - Jcnes 6e4l, Simpson and kub^t.. Far Re^ODdoit: Beirthold H. HoAlgear, Bsq. - Bailey, Harsbalir & Boeaig>er~ Statanent of CLaim filed: Ifarcb U, 1S91 dainant'8 SiAndssion Agreement signed ca: April 1, 1991 Statement of ADSMOOT

N.A.S.D. STIPULATED AWARD NATICNAL ASSOCIATICW OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen fvudenifeffibd^ Securities, l^ic , vs. Richard Hernandez 7 n NASD Arbitration No. 91-00667 J t For Claimant: Gary Klein cf Prudential Securities For Respondent: Pro per. statanent cf claim filed: March 1, 1991 Claimant' s SubmiBsion Agreanent signed cn: Fdaruary 28, 1991 Pre-Haaring ConferBnce(s) : None Hearing

N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen ^\\^ , . '^^ NfBffi ftf riiflimiTiTrfs) Joseph MEOigiaftane, Jr. 91-00079 Name of Reanondent/s^ Pacific Southern Securities, Inc. 'rtiijd PartTv Itegp^rv^c^ni-1 g | Michael Bedol For Claiinant: //an^ey Goldhamner, Esq., 1724 N. Pacific Avenue, Glendale, CA 91202 For Respondent Pacific Southern Secutities, Inc. : George Yockmcwitz of Paci

X ArbKratfon NattOAAl A«»oclatlon ot ••curttlM 0«i|«rf, Pnc. fMSO Fintncial Cerittr 33 Whtehall StrMt N«wYork. N.Y. 10004 FAX (313) 656^4369 ShaauTAon ticfeBnn Btotkmra, 368 Gfareendah fltr«*t 34th Floov K«M Ybr)t, Kir lOOU Si^jeoti MASD Azbitratioa Nisribar 91-00067 John Feloni vfl. Shearson liahnam Button, Uno. Dear Mr* Frledteoat In aooocitenca with tha KASD Ocida of Axbltration Procodura/ a daclalon In iism abova-Bubjeo

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Carol S. Church, TTEE/Margaret M. Bitterman, TTEE U/W Richard L. Church Marital T and Richard L. Church IRA, Carol S. Church, Executor (Claimant) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Stephen Nosek, and Timothy McNamara (Respondents) Case Number: 02-04536 Hearing Site: Buffalo, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Foland Mary Ann Foland vs Claimants Shearson Lehman Hutton, Inc. lames Stsrkey George Dahl AWARD NASD NO. 90-03667 Respondents REPRESEISTTATION Claimants were represented by William M. Bankston & McCollum, Anchorage^Alaska. Banks ton, Esq., of Respondents were represented by Kathryn L. Krebs, Esq., of Keesal, Young & Logan,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : Charles A. Betros Claimant vs . : CASE #90-03655 ANAKD J.F. Lowe and Co., Inc. James DiNapoli James F. Lowe Respondents CASE SUMMARY In a claim filed with the National Association of Securitie Dealers, Inc. on December 28, 1990, Claimant Charles A. Betro who appeared pro se, alleged that Respondents J.F. Lowe and Co. Inc., James DiNapo