^f.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In che .Matter of the Arbitration Between Name of Claimant Saul R. Newman Trust. TTEE 94-03965 Your Discount Broker, Inc. In a claim filed with the National Association of Securities Dealers, Inc. on September 28, 1994, Claimant Saul R. Newman Trust, TTEE, who appeared Pro Se, alleged that Respondent Your Discount Broker, Inc, failed to properiy execute his revised order to sell 5,000 shares of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Jerome Rothman and Edna Rothman 94-03842 Name of Respondent's^ Merrill Lynch Pierce Fenner & Smith Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20,1994, Claimants Jerome Rothman-and Edna Rothman, who appeared Pro Se, aUeged that Respondent Merrill Lynch, Pierce, Fen

K.A.S.D. AWARD WATlONAr. ASSOCIATION Of SECURITIES DfiAIoBHS In tha MAi:t:«r of Arbii:r«iian Baiweeh Jam«s W. Borowltz Wama of 9MT»vnAnT,¥» L. C. Wogard & Co., Ins. Srlo s. Bltmantha} 94-04404 dlaliaant Junes' vtT aorowli:s ("olaitMint") app«cir«< l pro se. For raapondvntfl L.C. Wegard 6 Co., ino. ("r..c. wa^ard") and Brio s. Bltiaanthal ("Blmnanthaa") harslnaftar colleotlvely referred to aa "raspondanta" appeared Maro j. Roaw, Saq., Ber

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-06427 Anne Rivell and Thomas Rivell, claimants vs. First Union Securities, Inc., First Clearing Corp., and Franklin Templeton Investments, respondents. ATTORNEYS: Claimants appeared pro se, San Jose, CA. For Respondents First Union and First Clearing Corp., appeared Michael A. Gross, Esq., of the firm, Ulmer & Berne LLP, Cleveland, OH. DATE FILED: November 28, 2001 CASE SUMMARY

N.A.S.D, AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaimp|nt Robert E. Holman Natne nf 1^fi.tpnpHp,^|,^ First Union Brokerage Services, Inc. Dante A. Desiderio William R. Bryant Roy D. Hottel Eric Westburv 94-04454 REPRESENTATION Ma'ry^l^d"'"* ^"^'"^ ^" ("Aaimant"): William S. Oshinsky. Attorney at Law, Bethesda, For Respondents First Union Brokerage Services, Inc.("First Union

V NASD AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Abraham J. Friedman, Claimant V. No. 94-04810 Jerry Steinberger, and Smith Barney, Inc., Respondents. REPRF.SENTATTON OF PARTIES Abraham J. Friedman ("Claimant") was represented by Jon A. Titus, Esq., and David R. Jordan, Esq., of Titus, Brueckner & Berry. Scottsdale, Arizona. Jerry Steinberger ("Steinberger") and Smith Barney, Inc. (

NATIQNAT. ASSOCrATTON OF SKrimTTTP*; DEAT.P.R.S TNP In the matter of the Arbitration Between Namenf qalinpnTf? Richard and Rebecca Mintzer, George and WUtrud Nassios, Jeffrey Eastman, Daniel and Denise Reynolds, and James W. McNair Name nf Rfts^^n^igntfi Kemper Securities, Inc. and Donald A. Johnson NASD Arbitration No. 94-05072 For Claimants: For Respondents: Statement of Claim filed: REPRRSENTATTQA^ Michael Huberman, Esq. Law

N.A.S.D. AHARD NATIONAI, ASSOCIATION OF SECURITIBS DBALERS In the Hatter of the Arbitration Between Name of Claimant Ellen Willie 94-05169 Merrill Lynch, Pierce Fenner & Smith Inc Edward Halsell William Brown RBPRESEMTATIOM The Claimant, Ellen Willie ("Ms. Willie"), was represented by Bradley Foster of Locke Pumell Rain Harrell located in Dallas, Texas. The Respondents, M&rrill Lynch Pierce Fenner & Smith (Merrill"), Edward Halsell ("H

M.A.g.D. AWAgn NATIQNAT. ASSQCTATTOW OP SRrrreTTIES nRAT.Rn.q. TMP In the matter of the Arbitration Between Name r>f na-imar^^- ^a) David C. Blake, Trustee, Signature Properties, Inc. Profit Sharing Plan NASD Arbitration No. 94-05283 Name of Reanondent-. (B^ Sean P. Nevett Troy M. Peters For Claimant: David C. Blake, Alpine, Utah For Respondent Sean P. Nevett: Sean P. Nevett, La Jolla, California For Respondent Troy M. Peters

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Barchenger Family Trust UAD 2/20/90, Claimant v. Prudential Equity Group, Inc., Morgan Keegan & Company Inc., and Gunnallen Financial, Inc., Respondents Prudential Equity Group, Inc., Respondent/Third Party Claimant v. Roy N. Apple, Third Party Respondent Prudential Equity Group, Inc., Respondent/Counter Claimant v. Barchenger Family Trust UAD 2/20/90, Claimant/Counter Respondent