NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between PAINEWEBBER, INCORPORATED, Claimant and Counter-Respondent, v. NASD No. 93-3549 JAMES B. RYDEU, Respondent and Counter-Claimant. Representation For Claimant: Alice Jump, Esq. and Joseph Generclli, Esq. of PaineWebber, Inc., New York, N. Y. For Respondent: Will Kemp, Esq. of Harrison, Kemp & Jones, Las Vegas, Nevada Case Information Statement of

NASD Arbitration No. 93-03545 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(^) Cindy Ahlquist Name of Respondent(a) PaineWebber, Incorporated Carlton Brien Pace Annette I. Brindley REPRESENTATION For Claimant: Cindy Ahlquist, San Jose, California For Respondents: Catherine J. Pratt, Esq., PaineWebber Incorporated, Los Angeles, California CASE INFORMAT

N.A.S.D. CONSOLIDATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jean C. Covey 93-03728 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller and In the Matter of the Arbitration Between Name of Claimant Charles D. Covey 93-03729 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller CASE SUMMARY

N.A.S.D. CONSOLIDATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jean C. Covey 93-03728 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller and In the Matter of the Arbitration Between Name of Claimant Charles D. Covey 93-03729 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dena M. Miller CASE SUMMARY

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael T. and Rose F. Stefaniak 93-03608 Name of Respondents Olde Discount Corporation Mark Cohen CONSOLIDATED WITH In the Matter of Arbitration Between Name of Claimant Edward Romm 93-03072 Name of Respondents Olde Discount Corporation Mark Cohen REPRESENTATION For Claimants Michael T. and Rose F.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael T. and Rose F. Stefaniak 93-03608 Name of Respondents Olde Discount Corporation Mark Cohen CONSOLIDATED WITH In the Matter of Arbitration Between Name of Claimant Edward Romm 93-03072 Name of Respondents Olde Discount Corporation Mark Cohen For Claimants Michael T. and Rose F. Stefaniak ("Stefan

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between) Bernard and Inez I. Sloane ) Claimants ) and ) A W A R D 88-00401 E. F. Hutton & Co., Inc; Bert Struthers and George L. Holley Respondents SUMMARY OF CASE In a claim filed with the NASD on February 8, 1988, Claimants Bernard and Inez Sloane ("the Sloanes") alleged that Respondents E.F. Hutton & Co., Inc. ("Hutton"), Bert Struthers ("Struthe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Paula Kelly Claitnant(s) vs. American Capital Sec. Inc and Arthur Molloy Respondent(s) •) ) AWARD CASE #88-00400 SUMMARY OF ISSUES This case was filed on February 8, 1988. Claimant alleges that she contacted Respondent Molloy and requested that he transfer funds from her Oppenheimer Equity Income Fund to her Oppenheimer Money Market Account. Subsequently she discovered that the swi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: H&R Block Financial Advisors, Inc., (Claimant) vs. Abram Penyok and Lidia Layvant, (Respondents) Case Number: 01-02728 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, H&R Block Financial Advisors, Inc., hereinafter referred to as "Claimant": Donald P. Wray, Jr., Esq., Assistant General Counsel, H&R Block Financial Advisors, Inc., Detroit, ML Res

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of -the -Arbitration Between Don B. Larsen & Tom B. Larsen Claimant ) Case #88-00381 vs. E.F. Hutton & Co,, Inc., Hugh Fuller, Jim Nielsen Respondent Award On January 26, 1989, the undersigned arbitrators heard the controversy between tho parties as set forth in submissions tc arbitration signed by Claimants on January 22, 1988, by Respondents Hugh Fuller on May 10, 1988,