Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward M. Nagle and Antoinette Nagle, (Claimants) vs. Peter J. DiGangi, (Respondent) Case Number: 01-01870 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Edward M. Nagle ("E. Nagle") and Antoinette Nagle ("A. Nagle"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, Peter J. DiGangi, hereinafter referred to as "Respondent

N.A.S.D. AWARD NKEXCNAL ASSOCIATICN OF SKUUR1TIES DEALERS George S. Fowler, Jr. 91-03095 Q£ A.G. Edwards & Sons, Inc. Jbha Sink C!barles J. Foo: Claimant: George S. Fowler, Jr. ves represented by Robert L. Striler, Esq. of King, Roster & Murpby located in St. Louis, Missouri. For Respondents: A.G. Howards & Sons, Inc. and Charles J. Galli wave represented by day L. Grumtee, Esq. of A.G. Edwards & Sons, Inc. located in St. Louis, Missouri

VJUS.D. NKTICKAL ASSUL'iAl'Ull OP fltfTIUITIBS EERISIS la ttaa Hatter o£ the MfaLtratioQ Mama n- & lAicile "Dales 91-03093 of Dean Witter Raynolds, Mai For daifflntss Kavia D. BDfnan, S*j. , Attomey At LBW, Miimfisota. For Reepcociaitas p4^>uiT^ &. Sogoff, Eaj. of Dean Witter Raynolds, Tnc,, San Statanaot of Claim filed: October 2 V dadaants's Sufctdflaian, AgEMmnt algned ens Septeitoer 27,1991. Joint StattBMflt of Tinaiiiai

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between David Kazzaz, MD. Claimant vs. Prudential-Bache Securities Inc.,and Lawrence Jones Respondents CASE #91-03086 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1991, Claimant David Kazzaz, Md. who appeared Pro Se , alleged that Respondents Prudential-Bache Securities, Inc.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03085 AHARD In the Matter of the Arbitration Between Jerome Simonoff Claimant vs. Best Investors Group, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1991, Claimant Jerome Simonoff, who appeared Pro Se, alleged that in early October 1990 he received notice from Respondent Best Investors Group, I

N.A.S.D. NATIONAL ASSOCIATION OP SBCOR1TIES DRATBRS T of Matt Golden et al. 91-03083 Boettcher & Gonpany Claimant, Matt Hold 0 !! Ra&pcndaatf Boettcher & Cccpany was represented by W. Charles Itnnacn, Esq. of Gallagher & Kennedy, P.A., Phoenix, Arizona* Statement of dalm was filed with the National Association of Securities Dealers, Inc* ("NASD") en October 2, 1991. Claimant, Matt Golden* s Submission Agreement was signed on Augu

Arbitration ® National Association of ASSOCTftTXCN OF SBCDRITIES BEHJ3RS, INC. NA^D 33 Whitehall Street _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (2 12) 858-4389 Kenneth H. Bunk Case #91-03081 Name of Respondents Dean Witter Reynolds, Inc. Joseph S. Honden Arunabha Sergupta KaMOS3EBf.Lajr.LLM For Claimant; Anthony J. Bern, Esq. For Respondents: Howard W. Larkin, Esq. Statement of Claim filed: Septemb

Arbitration NASD A.WARD National Association of Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York. N.Y. 10004 ; — — FAX (212) 858-4389 [n the Matter ot the Arbitration Between Name of Claimant William Garner 01-03078 Name of Respondents Prudential Securities Inc Robert L. Gorman REPRESENTATION For Claimant William Garner i "Claimant"): Kevin R. McDermott. or

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03076 AWARD In the Matter of the Arbitration Between Lawrence I. Stern Claimant vs. Andrew Strasser Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October l, 1991, Claimant Lawrence I. Stern who appeared Pro Se, alleged that Respondent Andrew Strasser of Sutro & Co. , Inc. recommended he purchase ten Put Contrac

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION* INC. CASE: 01-01869 Cletus M. Herold, claimant vs. National Discount Brokers, respondent. ATTORNEYS: Claimant appeared Pro Se, Des Moines, IA. For Respondent appeared Richard Cadigan, Vice-President of Compliance, Jersey City, NJ. DATE FILED: April 12,2001 CASE SUMMARY: Claimant alleged that respondent made a number of unauthorized purchases of Compaq calls in his account and refused to accept a