M.A.S.O. J^NARD NATICNAL ASSOCIKTIGN OF SECURITIES DEAI£RS in tte Matter of tte Arbitration Between Sandra Gaylord, Personal Hepcasentative of tte Estate of Helen M. Gaylord yartin/Panxon, Inc. Pan West Capita 1 Corp. .^lartin/Pantan Financial Services Williaa Panccn 91-00387 daimant wes repreeented by Eduerd H. "nrenplca, Esq., of Broffistein, Bask, Sweeney, Kacr, Grim & DeSylvia, Portland, Oregon. Raspondents were represented by Ro

N.A.S.0 NKEICNAL ASSOCaOICH GP SKDRITIBS OBMBS m tte Matter of tte Aibitration o^da^a^^ Dcoald R. & Jacqunline D. Dugsn A.a. Btazda a D. nrijfay Sens, mc. Far dai^mts, Donald aad Jeaqneiine Dugaa (• Seq. of Boolitasn, auidsoe a Nbllett, P.A. I, A.O. Bfeaods a Sons, me. ("A.a. ("ftlMiy") t Base SfaiMler, Neq. of A. 0. Stat ND. 91-00252 )t Satzlde Davla, •) and Pacn ftlMay It of daia filadt 11, 1991. 23, 1991. daiaa

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Doug Hall Name nf the. Respondents Kimberly Securities, Inc., John Patrick Donovan n, and Kimberly Jean Misaraca ase Minrther: 01-05045 Hearing Site: Charlotte, North Carolina RFPRRSFNTATTON OF PARTTFS Claimant Doug Hall, hereinafter referred to as "Claimant", was represented by John E. Lawlor, Esq., Attorney at Law, Mineola, New York, Re

N.A.S.D. ANARD NKTICNAL ASSOCIATICN OF SBCURITIES DEALERS :n the Matter of the Azbitration Between Browne and Mary Jones Kennady, Cabot & Ccnpany George Gable 91-00130 For Claimant: Michael lUaennan For Ra^andant: George Sk^]per, Esq. Statement of Claim filedt January 4, 1991 Claimant's S\±mission Agrsanant signsd on: January 4, 1991 Statanant of Answer filed tay Hnsprnctaiii.. ont April 4, 1991 , Kennedy, Cabot 6 Co. 's Sufanission Ague

N.A.S.O. JWARD NKnCNAL ASSOaxrZGN OF SECURITIES OEAIZPS :n t:he Hatter of the Azbitration Between 90-03145 r%.Os>n, mc. Robert Fslckan Par Clainant: Michael Holtanan, Esq., of Mindlin, Tigerman & Holtzman For RaspandBRC: Baar, Steams & Can(>any, Inc.: Mitchell J. Albert, Esq., of KSeaal, Young and logan. FOr neapondait Oppenheimer & Co.: John T. Maguire, Esq., of pEipenheimer & Co. For Respondent Robert N. Feldnnan: Pro se Statanent of C

® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ArbiirMlon National Asaedalion of Soeuritlot Ooalara, inc NASD Financial Canter 33 wrijtehall Street New York. New York 10004 In the Matter of the Arbitration Between Name nf r!lai«wntfs> Michael A. arxl Elaine R. HUclosko 90-02944 Stuart James Ccnf»ny, inc. Stxiart Gcaf f C. James Padgett Robert John Shoanater For Cledmant, Michael A. and Elaine R. Miklosko

N.A.S.D. ANARD mnOttHL ASSOCIATICN OF SECURITIES DEAIZPS In the Matter of the Arbitration Between Richard B. Gilmoce, M.D. vs. 90-02420 iDougleu Osbatns For Claimant: Claimant reproesntod himself. For RespondMitx Alex P. A^^janian, Esq., Pasadena, Califomia. Statonant of Claim filed: August 31, 1990. Claijmnt's Subnission Agrssnwnt signed: JUly 20, 1990. Statensnt of Anewar filed by Respondant: None subnitted. Respondent's SutaBiaaion Ag

M.A.S.O. PiNARD MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tiie Arbitration Betvieen Annette Hezzof f 90-01012 Dean Witter Reynolds, Inc. Barzy M. Speyer Jolyon H. Glssell Claimntv^ ruiiwrtiiltyMr. LBS QBErtEog^ Eb;. t^espondents ware represented by Mz:. Michael J. Abbott, Esq. Thla matter was initiated by a Statanent of Claim filed with tha National Asaociation of Securities Dealers, Inc. ("NASD") on April 6, 1990.

N^fl.D. MKREGMIL JUSQCXNTBll OF SBQRROB CBKflB lathi ot tfaa AdsLtzetlfia L. tameae, iadiviteUyf «d < of thi Join Xi* Piwiiiw PJk* Mnsien Plan Md jahn L. RWBK pju, a Mtimsota 90-01392 Oa^matlfln Zl* veefeeac, iidtrUaitiJrt and as ttostn of tha Jcte L* FJL Madflo AM and Adv L. nmatem FJL, • Wliiiiua cnyiaMieti ly CMdas S. ^ciaVf a^. of OnBlaa I. iptiisg/ XM.» *   j i ^ * tnatemr, mmaagaUM, of date filads

MATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Colesi Ltd. Claimant vs. AWARD #90-01338 Merrill Lynch Pierce Fenner & Smith, Inc. Respondent CASE SUMMARY Claimant, Colesi Ltd. ("Colesi"), alleged Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") erroneously made a credit entry into Claimant's account. Claimant further stated that when Respondent attempted to rectify the mis