NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Edward L.~Boyd Claimant(s) vs. Bull & Bear Securities, Inc. Respondent{s) AWARD 88-01864 The undersigned being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on June 25, 1988 and August 16, 1988, respectively;

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) VIRGINIA SHAW and ETHEL L. A. PHILLIPS, ) Claimants, ) ) Case 188-01860 vs. ) Award ) PRUDENTIAL-BACHE SECURITIES, INC., ) BRUCE A. OLIVER, and WILLIAM C. MITCHELL. ) Respondents . ) Heard before the members of the Arbitration Panel: William A. Fleck, Esq. Nancy C. Wear. Esq. S. Richard Savage CASE SUMMARY This claim was filed wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Claire D. Leiner 94-02102 Name of Resoondentfs) Gilberto Rodriguez Citicorp Investment Services CASE SUMMARY In a claim filed with the National Asociaton of Securities Dealers, Inc. on June 7, 1994, Claimant Claire D. Leiner; who appeared Pro Se, alleged that Respondent Citicorp Investment Services ("CIS") and Gilberto R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hubert P. and Joan A. Schreurs 94-02099 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gary Schmidt Brian D. Fylak CASE SUMMARY la a claim filed with the Rational Association of Securities Dealers, Inc. on June 3, 1994, Claimants Hubert P. and Joan A. Schreurs, who appeared Pro Se, alleged that Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cteiniaiits Joseph P. and Mabel I. van Daalen 94-02093 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Bruce Vivino Wayne Sammartino Brian Dillon CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 6, 1994, Claimants Joseph P. and Mabel J. van Daalen, who appeared Pro Se,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CA51- 01-03148 Wiuiam F. Reichenbach and Joan Reichenbach, Claimant vs. A.G. Edwards & Sons, Inc., Respondent. ATTORNEYS: Claimants appeared Pro Se., Essex, CT. Respondent appeared through its in-house counsel Matthew R. Salamon, Esq., St. Louis, MO. DATE FILED: June 14, 2001 CASE SUMMARY: Claimants alleged that Respondent was negligent in the management of their account. Claimants furt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony /. Pellarin 94-02092 Name of Respondents PaineWebber, Inc. Anthony Fitzgerald For Claimant Anthony J. Pellarin ("Pellarin 1 ') appeared John Lawlor, Esq., Garden City, New York. For Respondents Painewebber Incorporated ("PtineWebber") and Anthony Fitzgerald ("Fitzgerald") appeared George W. Clarke, Esq., of the Law office of Joseph

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant x CS First Boston Corp. 94-02088 Name of Respondent Prabank Capital Ltd. REPRESENTATION For claimant CS First Boston Corp. ("claimant") appeared Anthony J. DiSarro, Esq. of the law firm of Winston & Strawn located in New York, New York. For respondent Prabank Capital Ltd. ("respondent") appeared Jonathan Kord Lagemann, Esq. of New York, New York. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between DEC 4 r} Name of Claimants Kenneth L. and Harriett J. Gillespie 94-02086 Name of Respondent Chatfield Dean and Company, Inc. REPRESENTATION For Claimant: Kenneth L. and Harriett J. Gillespie ("Gillespie"); Norman Meyers, Esq. of Sun City Center, Florida. For Respondent: Chatfield Dean & Co. ("Chatfield"); Christa D. Taylor, Esq. corpora

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Anthony DeJoseph 94-02085 Name of Respondents) Paul Joseph Glesinger, Jr. CASE SUMMARY In a-claim filed with tlwuNational Association of Securities Dealers, Inc. on June 6, 1994, Claimant, Antony DeJoseph, who appeared Pro Se, alleged that Respondent, Paul Glesinger, negligently managed his account. Claimant further alleged