N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant /rQimterResriondenti David Clark Stewart 90-00320 Mama nf Rempf rieilt Prudential-Bache Securities Inc. Public /Industry- Public Chair Public Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, inc. ("NASD") on January 30, 1990. ClaJjnant/CounterRespo

MATTONAL AS5OCTAT ION < .>F SECURITIES DEALERS. INC. ; fn the Matter of the Arbitration Among ) ) Richard Ogust and Samuel Ogust ) ) Claimants ) ) vs. ) Case #90-00186 ) Award P.tineWebber , Inc. and Mark Unterback Respondents CASE SUMMARY < : i tiimants, Richard and Samuel Ogust, alleged that Respondent, Mark Unterback knew of Claimants' lack of sophistication ^and persuaded them to open margin accounts and execute agreeme

N.A.S.D. AWARD NATICMRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gladys Kazmark 89-03289 Name of Iteauurrientfai Michael Clark Heard before: James G. Parker Public Arbitrator Claimant Gladys Kazmark and Respondent Michael Clark appeared pro se. Statement of Halm filed: November 21, 1989. Claimant Gladys Kazmark signed a Submission Agreenant on: November 13, 1989. Respondent Michael Clark did not sign a S

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between I Claimant(s) Respondent(s) vs . Huss Dulbev NOTICE OF ARBITRATION AWARD 89-03260 CASE SUMMARY Claimant(s) Gloria Cruz alleged that Respondent(s) Russ Dulbey made misrepresentations concerning the return to be received on certain securities, mismanaged Claimant's account and sold securities which were unsuitable considering Claimant's investme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, IMC. In the Matter of the Arbitration Between ) Carolyn C. Huffman Koon ) dba Diamond Properties Claimant ) vs. ) AWARD Merrill Lynch, Pierce, ) Fenner & Smith, Inc., ) Steve Worthington and ) Butch Woodward Respondents ) CASE NO. 89-03263 SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on November 20, 1989. Claimant alleged that the purc

Arbitration N.A.S.D. AWARD NATIONAL. ASSOCIATION < ip SECURITIES DEALERS National Association of S«euritlM Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 -IP Matter of the Arbitration Between Name of CaJ Ma Paster vs. Name of Resondents .Stearns f, Ccropany »n R. Chizzik Case * 89-03236 AWARD t •ii.i.77.ik ^^ vi.s.i.- This . -i.Tijn was filed on Novembet 17, TJ89. Claimant

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: (s) Paul Bashkin 89-02810 Name of Respondent(s) Bear Stearns & Company National Association of Securities O«al«ra. Inc. 425 California St.. Rm. 1400 San Francisco. CA 94104 (415) 781-3343 FAX: (415) 362-9946 This case was fieri with the National Association of Securities Dealers i r*~ orf"*pr 11

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: MARK C. McQUIGGAN, Claimant, v. BERNARD HEMKER, MPA INC. a/k/a MIDWEST PENSION ACTUARIES, INC., EQUTTAS AMERICA INC., MARINER FINANCIAL SERVICES, INC., J. WILL PAULL, CLARK F. COLTON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE and KENNETH D. WARNICK, Respondents. Case Number: 99-03560 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Persichetti and Judy Persichetti (Claimants) vs. M&T Securities, Inc., M&T Investment Group, Manufacturers and Traders Trust Co., and M&T Bank Corporation, Successor by Merger to Keystone Financial, Inc. (Respondents) Case Number: 05-04458 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Customers vs. Member and Non-Members REPRESENTATION OF PARTIES Claiman

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Costas Tsoleridis and Deborah Tsoleridis (Claimants) v. Morgan Stanley Dean Witter, Inc. and Scott Daniel Swaylik (Respondents) . Case Number. 05-01396 Hearing Site: Boston. Massachusetts Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Costas Tsoleridis ("C. Tsoleridis") and Deborah Tsoleridis ("D. Tsoleridis") her