N.A.S.D. AWARD ASSOCIATICN OF SECdRITIES EEMJ3RS In the Matter of the Aibitration Between of FiberOo, Inc. 91-01503 Nans of Respondents Bear Steams & Oorpany William MaGee Claimant was represented by Charles I. Kaplan, its' President. Respondents Bear Stearns arvj QQ V f Inc. an *j William MaGee wears represented by Nicholas K. Notias, Esq. of Bear Steams and Co., Loo., New York, New York. Hie Statanent of r^aii* vas

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Deborah J. Bull 91-01501 Name of Respondents Gary Goldberg & Company, inc. " ** Gary Goldberg For Claimant: Scott E. Richter, Esq. of Popham Haik, Schnobrich & Kaufman, Ltd. , Minneapolis, Minnesota. For Respondents: Stephen G. Rinehart, Esq. of Parter Chapin Flattau & KOimpl, Mew York, New York:. Statement of Palm filed: May 13, 159

N.A.S.D. AWARD NAUCNAL ASSOCIATION OF SECURITIES DEALEKS In the Matter of the Arbitration Between Name of Claimants Louis B. Scharon of Respondents Legg Mason Wood Walker, IDC Roger Bair 91-01499 Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: Claimant appeared pro se. For Respondent: C. Gregory Kallmyer, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Thomas & Ruby Kerns Claimants vs. Wheat First Securities, Inc, Gary Wortman Respondents CASE #91-01498 AWARD r-RSE SUMMARY in a claim filed with the National Association of Securities Dealers, Inc. on May 14, 1991, Claimants, Thomas & Ruby Kerns who appeared Pro Se, alleged that Respondents Wheat First Securities, Inc. and Gary Wortman recom

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01497 AKAKD In the Matter of the Arbitration Between Rudolph F. Tenore Claimant vs. PaineWebber, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 14, 1991, Claimant Rudolph F. Tenore who appeared Pro Se, alleged that Respondent PaineWebber, Inc. failed to inform him of the payment due date for the purchase of Growth

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bernadette M. Blixt, Claimant and Counter-Respondent v. TD Waterhouse Investor Services, Inc., Respondent and Counter-Claimant Case Number: 01-01847 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: Bernadette M. Blixt ProSe Oxnard, California For Respondent/Counter-Claimant: Brian G, Mulherin, Esq. Jones, Bell, Abbott, Flem

N.A.S.D.-AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Paul W. Boyles 91-01496 Name of Responflpnt(s) NCNB Brokerage Services Claimant, Paul w. Boyles appeared pro se. For Respondent, NCNB Brokerage Services, Charles M. Berger, Esq., In-house Counsel. cass Statement of Claim filed: May 14, 1991. Claimant's Submission Agreement signed on: May 9, 1991. Statonent of Answer filed by

® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Donald & Aretta Handa Name of Respondent f s } ) ) Merrill Lynch Pierce Fenner & 3nith Inc } Tilncia C. Barlcw Case No. 91-01494 Claimants, Donald and Aretta Ha

N.A.S.D. AMAKD NATICNAL ASSOCIATION OF SHUUR1T1ES DEALERS In the Matter of the Arbitration Between } ) f Claimant (s) ) Aladar Paczier and J. Michael Fitzgerald ) ) 191*01492 Maine of Rwmr^nt (a) ) —=_==« } Prudential Securities Inc. ) For Claimants, Aladar Paczier ("Paczier") and J. Michael Fitzgerald ("Fitzgerald"): Robert E. Gordon, Esq. of McGee, Jordan, Sbuey, Gordon, Morris & Doner, P.A. Fbr Respondent, Prudential Securitie

N.A.S.D. AMKKD ASSOCffinCK OP SHJURITIKbi DEAIERS In the Matter of the Arbitration. Between of Jill P. Glosser vs. Of Nbrstar Brokerage Corporation Arbitration National Association of Securities Dealers, inc. l Center I Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-01489 For Claimant, Jill P. Glosser, Paul H. Titus* Esq. and Barbara B. Kfcaravitz, Elsq. of MansoBrai Cludxricn & Titus. For Reapandent