N.A.S.D. AWARD 'SUCNAL ASSCCISnCH OF SECURITIES DEALERS tTi »ha M»f+a«pnf 1-ho Ar^i ^-ral-i on Oa^giQn Hutton, Inc. 90-02280 Ernest Tamary Haani Mane Public/Industry Richard T**ng«- T Esq. Public Arbitrator Joseph F. 2tah, Jt., £sq. Public Arbitrator Hyaan SP**** Industry Arbitrator This mating' -mm initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on August 20, 1990. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ted Leff ; Claimant: ) AWARD vs. i ) NASD *90-G2276 Prudential-Bache Securities, inc. ) Don P. Wyse ) Respondents ) ) REPRESENTATION Claimant was represented by Ann A. Anderson, Esq. , of Dicker & Anderson, woodland Hills, California. Respondents were represented by Neal S. Robb, Esq., of Keesal,Young & Logan, Long Beach, Califor

N.A.S.D. AWRRD NftTICNMj ASSOCDOTQI OF SSCQRXTTES DEAI£RS la t£a Matter of toe Arbitration Be 90*02242 , inc. Gary Feldom For Claimant: M. Nelson Segal, Esq., Us Vegas, Nevada Pear PsspanrtsntB Msdhush Maocgan. Seouritlee- and Gary Feldnant Jterie Bullitt & MUkdasbaw, 3mttlo. **»"** i ' < jtMn Statement of dmirn filedt August 15, 1990 aigaed cat May 17, 1990 by Respondents Nadbusli Moocgan and 19, 1990 Statsos

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Jeaimie and Paul Iroeson 90-02221 Shearson Lehman Hutton, Ire. Arlo R. Liebeler Clayton E. Hartman For Claimant: Timothy J. Banner, Esq. For Respondent: Jack Lutz, Esq. Statement of Claim filed: August. 14, 1990 Claimant's Submission Agreement signed on: August 13, 1990 Amended Statement of Answer filed by Respondents on June 4, 1991. R

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsi Renee Madnick Renee Madnick and Maria Makier 90-02210 Dean Witter Reynolds, Inc. E.F. Hutton & Company, Inc. Michael Roberts Claimants were represented by H. Thomas Fehn, Esq.. Respondents Dean Witter Reynolds, Inc. and Michael Roberts were represented by Wendy R. Robinson, Esq.. This matter was initiated by a Statem

N.A.S.D. AWARD NATIONAL ASSOCXATICK OF SaJUki'l'lfeS DEALERS In the Hatter of the Arbitration Between of Sheila Basin i 90-02154 Name of Respondents A.G. Edwards & Sons, Inc. Walter Roth For Claimant: Glean Kaplan, Attorney at Law. For Respondents: Rose M. SchindTer, Legal Counsel, A.G. Edwards & Sons, Inc. Statement of Claim filed: August 6, 1990. Claimant Sft»tla Bazini's ("Claimant") Submission Agreement signed on: October 16, 199

N.A.S.D. AWARD v- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony P.. Domanico 90-02022 Mams of Carol Martino Eric M. Diehm Glen Desort Robert E. Cohen Heard before: Name Public/Industry Andrew N. Carnell, Esq. Public Claimant appeared pro se. Carol Martino and Robert E. Cohen did not appear at the hearing and were not represented. Glen Desort and Eric M. Oiehm appeared pro se a

N.A.S.D. AWARD ASSOCIKTICH OF SfcLURiTJLfcS DEALERS In the Matter of the Arbitration Between Young fh^T jcim »n^ Myung Sun Kin V Shearson Lehman Brothers, Inc. NASD No. 90-02015 For Claimant: Jonathan Schwartz, Esq. For Respondent; Ttaci D. Bowling, Esq. - Keesal, Young & Statanaat of ^«< « filed: March. 15, 1991 Claimant's Submission Agreement signed by Diane Kim as attorney-in-fact for dainants, Young-Chul Kim and Myung-Sun Kim on. JUly 19,

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Doatara, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between MamgofClaimant; Phyllis E. Kerle vs 90-01954 John Anderson Heard before: Npme Edward Weiss, Esq. Claimant, Phyllis E. Kerle, represented herself, represented himself. Respondents, John A

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Basil Tilley and 99-3452 Omaha, Nebraska Baxter, Banks & Smith, Ltd. Francis M. McDermott a/k/a F. Martin McDermott Michael A. Boston Kevin J. Ruggerio REPRESENTATION OF PARTIES Basil Tilley, hereinafter referred to as "Claimant": Martin J. Siegel, Esq., New York, New York. Baxter, Banks & Smith, Ltd., ("BBS") and Francis M. McDermott (a/k/a) F. Martin