NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che £4atter o£. tbe Arbitratioa.Between^ .-..»... •• . V--'" KS< :«'T *'^''*?* John T..S] Respondent CASE SUMMARY In a claim filed wich Che National Associacion of Securities Deaiers, Inc. on May 22, 1992, Claimanc John T. Shea, who appeared Pro Se, alleged chac in February 1988 he discussed wich Respondent Advesc, Inc. by and through their broker, Ann Marie Brancato, the transfer of his

NASD Arbitration No. 92-01720 N.A.S.D. AWARD MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Dwight Mitchell Name of Respondent's^ Crest Capital, Inc. Phillip Q. Shrotman REPRESENTATION For Claimant: Paul W. Thomas, Esq., Carlsbad, Califomia For Respondents: Michael Holtzman, Esq., Mindlin, Tigerman & Holtzman, Los Angeles, Califomia CASE INFORMATION Statement of Claim f

t' Arbttration s N.A.S.D. JMARD TSmnOtKL ASSOCIKnCW OF SBCDR^^IES DBOiERS In the 2feitt»: of tbs Acbitzatica ^me of dad^mts Ellas & Lilly Hsibjlsti 91-04154 Legg Mascn Nood Maiter, Jac Victxn: B. Abdallah Nationai Asaociation of Securities iSeaiera, inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 For dedmants Ellas & Lilly Ibbjlsh ("daimants"): Tbcanas S. Sapinsley, o£

NASD AWARD • NATICJNAL ASSOCOATION OF SECURmES DEALERS. INC. in tbe Mfltter^f the Arbitntios Betwun Naaoy MwdkofiF Allan, CJaimtni, No. 93-01800 A. O. Bd«tari« & SaoM, IxK., Rtspofidtiit. RI?RTCSKNTATTnW DF PARTIES Nanpy Muchoff Allen ("Clatmuit") wu npnscoM by Bmea C Ccdiai, Esq., of FdUeclcer & Coben, P.Cf 8t Loub, MiBMoi. A. 0. £dwads ft Sons, loc, rR»^)oadMt^ was itpRaeolBd by Ricfasrd S. Jsadesi Esq.. asd MeMeOBrlejrXeftOdy, Esq., o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael S. Baldock (Claimant) v. UBS Warburg LLC (Respondent) Hearing Site: New York, New York Case Number: 01-05023 REPRESENTATION OF PARTIES Claimant, Michael S. Baldock, hereinafter referred to as "Claimant": M. Alexander Bowie, II, Esq., Harkins Cunningham, New York, NY. Respondent, UBS Warburg LLC, hereinafter referred to as "Respondent": Joel E. Miller, Miller & Wrubel, P.

:UL Zl '92 aasfib hORTH?IDGE OFTICE P.2 NJUS.D. JIIMD ASBOCSaSCR CF EBSBnZB SDi tte C3 C tba Aifaitzmtica 91-03950 &Go.,.saa» BH(* OC Adtb ia ta flMbim U oC lte HOD ODte of ftCb.r soe. ("SMtamnv") tend with 9M.th Boqp* te tte iailaA te o£ Ita to (UzModivB In a tiaaSsy a ^aiaoBaa ia vot^ ^RSBML ISIBC topaya aadth «d.te xaaalataef ttet PMIill te»a of In -1JL 21 '92 08!47 NO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Ine 91-03825 Name of Resoondent Michael Weinraub REPRESENTATION For Claimant: Gary Klein. Esq. The Respondent appeared Pro Se. CASE INFORMATION Statement of Claim tiled: December 3. 1991. Reply to Counterclaim tiled on: April 9. 1992. Claimant's Submission Agreement signed on: November 26, 1991

N.A.S.D. AMARD NAnCNAL ASSGdKrCCN OF SBCDRITIES DEAI£RS In the Matter of tbe Azbitzation Betaoeen Name^f^lai]^^ 91-03827 f^nrrman COBnOditleB & SeCUZltieS, ICC. and Ira ^S'^""'™" ?or Claimant: Alan Goebring For Respondents: Joha O'Ocnnar, Esq., Santa Monica, California Statanent of Claim filed: December 4, 1991 daimant's SUbsiasian Agreanent signed on: NOwenber 29, 1991 Joint Stataaant of Aumwu: filed by Raapoodants on: April 1, 1992 Ree

N.A.S.D. AWARD NAn^CNAL ASSOCIATICN OF SfcUUHTTIES DEAIERS In tbe Matter of the Azbitzatioa Betanocn ^m^o^dai^^^ Margaret A. Brisasan vs. NASD #91-03752 ^m^^^jesggreignts Wedbush Margan Securities Soith Culver, Inc. Dane S. Faber luflfluaaflmaam Foo: Claimant: Stephen P. Brusner, Esq., Angall, Brunner & Angell, San Francisco, Califomia For Reqjondents SoBlth Culver & Dana Faber: Wlllian J. Moriarlty, Esq., Lazkqiur, California

Arbitration ® N.A.S.D. JffllARD NancMSL AssodancN OF SUUUKITIES DEALERS In the Matter of the Azbitrat:lon Between ~ Aznold V. Preston 91-03440 jfaniB of Respondents Ferris, Baker Watts looorporated Nationai Association of Securities Deaiers, Inc. NASD Financial Center 33 Whitehall Street NewYork, N.Y. 10004 FAX (212) 858-4389 For Claimant: For Reepondent; Robert W. Keene, Jr. of the law fizm of Miles Stockhridge.