N.A.S.D. AJfcRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mane pf Claimant Tiffany T. Michel 90-03415 Peter C. Kapreilian G.K. Scott & Co., Inc. Michael Czaja For Claimant.: Bernard Kcbroff, Esq. of S. W. Azriliant, P.C. For Respondents G. K. Scott & Co., Inc. and Michael Czaja: Harold Geringer, Esq. of Geringer & Dolan. Respondent Peter C. Kapreilian did not have a counsel of record. Claiman

N.A.S.D. AfrffiRD NATIONAL ASSOCIATION CF SECURITIES DEALERS In the tetter of the Arbitration Between Patrice Leonard MfflnB QT Global Capital Securities, Inc. Edward A. Mardini Heard before the arbitrator; Casey H. Mills, Esq. ) Award No: 90-03413 Public Claimant, Patrice Leonard ("Leonard"), was represented by Michael A. Criden, Esq. of Zack, Hananan & Ponce. Respondent, Global Capital Securities, Inc. { "Global"), was repxx Mi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimants William J. Holland, SIPC Trustee for Oberweis Securities, Inc. 90-03409 Name of Respondent Ronald A. Alghini REPRESENTATION OF PARTIES For Claimant: Christopher Barber, Esq. of Adler, Kaplan & Begy of Chicago, Illinois. For Respondent: James E. Hani on, Jr., Esq. of Katten, Muchin & Zavis, Chicago, Illinois. CASE I

N.A.S.D. AWARD NAHCNRL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Mane nf Claimants} Charles I. & Lorraine Hanson JT/TEN 90-03408 Associated Financial Services, Inc. Claimants Charles I. Hanson and Lorraine Hanson appeared pro se. Respondent Associated Financial Services, Inc. was represented by Robert H. Madhus, President of Associated Financial Services, Inc., Fargo,North Dakota. Statement of Claim filed: Decembe

N,A.S.D. AWARD NATIONAL ASSOCIAT73N OF SECURITIES DEALERS In the Matter of ';he A_-;itration Between Name of Claimant Jacqueline .. Brown 90-03407 Name of Respondent G.K. Scott & Co., Inc. REPRESENTATION Claimant, Jacqueline M. Brown ("Brown"), was represented by Morgan W. Bentley who is a sole practitioner. Respondent, G.K. Scott & Co., Inc. {"GKS"), was represented by Harold Geringer of Geringer & Dolan. CASK INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between JULIE KERSHNER Claimant and 90-03405 RftF FINANCIAL CORPORKTICN AND GERALD W. GRDVER Respondents Julie Kershner was represented by Miles M. Gersh, Esq. of Gersh & Danielson, Denver, Colorado. RAF Financial Corporation was represented by Gene R. Thornton, Esq. , and Victor M. Morales, Esq. of Hopper and Kanouff, P. C., Denver, Colorado.

Award NASD Dispute Resolution, Inc. IB the Matter of the Arbitration Between: OLDE Discount Corporation, (Claimant) vs. David A. Sun, (Respondent) Case Number: 99-02221 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation, hereinafter referred to as "Claimant": Robert M. Visconti, H & R Block Financial Advisors, Inc., Detroit, ML Previously represented by: Staff Attorney, Aaron L. Kleid, OLDE Discount Corporatio

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Paul J. Callahan (Claimant) vs. Fleet Boston Robertson Stephens, Inc. (Respondent) Case Number: 00-00990 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Paul J. Callahan, hereinafter referred to as "Claimant": Glenn H. Ripa, Esq., a sole practitioner, New York, NY. Respondent Fleet Boston Robertson Stephens, Inc., hereinafter referred to as "Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Wallace B. and Betty Ann Robinson ) ) ) Case No. 90-03402 ) Name of Dean Witter Reynolds, Inc. For Claimants, Wallace B. and Betty Ann Robinson ("Robinson"): grp. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Melinda Socol Herbst, Esq. of DWR. Statement of Claim filed on: January 3, 1991. Claimants' Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sam Nakis, Harry G. Lake, Arthur Lagadinos and Peter Pavoris, on their own behalf and on behalf of the Order of Ahepa 90-03394 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney Shearson, Inc.) Janney Montgomery Scott Inc. J.C Bradford & Co. Peter Derzis Peter Poneros Order of Ahepa REPRESEN