N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the letter of the Arbitration Between Oppenheimer & Co., Inc. Claimant 91-00753 Jacob Sinai Respondent For Claimant: Joseph Keenan, Esq. of Bochat & Keenan. For Respondent: Jacob Sinai appeared pro se at tte hearing. Claimant Gppenteimer & Co. signed a Subnission Agreanent on March 6, 1991 and filed a Statemsnt of Claim on March 7, 1991. Respondent Jacob Sinai did not sign a Su

ir.A.S.D. JMARD NAnCNAL ASaOCIATKll GP SBCURITISS "g^T^aa m tte Matter of tte Azbitxatlcn Nam^^^Ofi^SSS^^ Bemard S. Qabea Nn^^^SQG^tant^ Bittoa, sac. Molfe case Mo. 91-00277 For daiflsnt, Moldhan. For ii—yi •• ••!! II, Nolfe ("Wolfe"): Bemaxd S. Ooban ("Goten"): Michael R. casay, Bsq. of Casey & Brothacs, IK. ("Shaaraon") , Bsq. of Bocae Casey CUclin Liibita et al. Dibra A. Jeaks, Statanaat of Claim filed: signedt

N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEALEI^ In the Matter of the Arbitration Betvteen John P. Kusel vs. NASD Arbitration No. 91-00268 Shaaraon Letman Hutton, Inc. Rotert Shwedsl Thomas McGowan Piudentlal-Bacha Securities, Inc. Preston Cranfocd Catharine Seiwart For Claimant! Nancy A. Gibbons, Esg. For Raspondentsi Wllllera £. McDonnell, Jr. of Kaesel, Young & Logan StateoMit of Claim filedt Jeouary 25, 1991 Clai

N.A.S.D. A^WARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) J. Foster Pate Case No. 91-00240 Name of Resiwndentfs) Prudential Securities Inc. Donald Roberson Ronald J. Riley REPRESENTATION For Claimant, J. Foster Pate ("Pate"): Franklyn Wollett of Hoolihan, Hilleboe &. Wollett. For Respondent, Prudential Securities, Inc. ("Prudential"). Donald Roberson r"Rober< ;on"t Ronald J.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IT. the Matter zi zr.Q .-.rcitration Between 3oonsin Phanichsiri .laimant vs f.hearson Lehman .-lurtcr., ;.ic :RDER MASD NO. n-00233 .=lesDonaent REPRESENTATION Claimant was represented by Duane A. Dauphine, Zsq., of z'r.e Law Offices of Richard A. Love. Respondent was representea cy Michele R. Fron, Esq., of Kessal, Young and Logan. SUMMARY OF ISSUES This case was

N.A.S.D. AWARD S^TICHAL ASSOCIflnCN OF SECURITIES DEALERS tte Matter of tte Arbitration Between Delia Peretti, Trustee Shearson L^nan Brotivers Eric Zakarin 91-00120 RBMUj|liilM!llJi ?or Claimant: Walter M. Schey, Esq. of 22 Battery Street, Suite 1100 San Francisco, CA 94111 For Respondent: Brian L. Zagon, Esq. of Keesal, Young & Logan, 4 Bmbarcadero Center, Suite 1500, San Francisco, CA 94111 Statement of Cl< dm filed: January 9, 1991

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Michael Mueller Case Number: 01-05003 Names of Respondent^ J. B. Oxford & Company Roger Araiza Benjamin Carlo Scott Allen Nash Christopher John Barovich Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Michael Mueller Alabama. "Claimant") : Robert Rash, Esq., Montgomery, For J.B. Oxford & Company {"JBO") , Roger Araiza

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Melvin G. Vollmer; Donald E. Waeltermann; and Nancy Waeltermann Case No. 00-01337 Quick & Reilly, Inc. Hearing Site: St.Louis, Missouri KFPKFSFNTATTON OF PAHTTFS Claimants Melvin G. Vollmer ("Vollmer"), Donald E. Waeltermann ("D. Waeltermann") and Nancy Waeltermann ("N. Waeltermann") were represented by Steven W. Koslovsky, Esq., of the firm of Blumenfield Kaplan Sa

N.A.S.D. AIARD JdaxICNQF SECURITIES DEALERS In t5B"Mcitter of tte Arbitration Between jjanBgi riiiinimrf'^v H. Bond OMone, Jr. 91-00003 Siittcsi,- Inc. Randall^R. Bqan, jr. - • ••••• ^**m*Kwm-V;t,m,: For Clainantr 6. Michael. Zeno/ Esq., of. Denridson, Cseisler and Kilpatric For Reepondsntss Francis L. Van Dusen, Jr., Esq;^ of Miller, Nash, Wiener, Hager and Caclssn Stetement of Claiar filedt January 2, 1991 Claimant's Sukadasion Agr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter or tiie Aroitration Between Robert L. Martin Claimant i Case #90-03256 I AWARD vs. Citicorp Financial Services, Inc. Respondent CASE SUMMARY Robert L. Martin, in a claim filed with the Nationa. .Association of Securities Dealers, Inc. on November 16, 1990 alleged that he is an inexperienced investor who dealt in sraai trades. He states that through an error, one thousand (100