N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between T ) Name of Claimant (a) ) — =^=— ) Jane P. Burroughs ) ) ) Case No. 91-01031 Name of Gruntal & Co., Inc. ) Carl Nicola ) For Claimant, Jane P. Burroughs ("Burroughs") : Michael Casey, Esq. of Casey & Molchan. For Respondent, Gruntal & Co., Inc. {"Gruntal"): W. Reece Bader, Esq. of Qrrick, Harrington & Sutclif fe For Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Clarence and Mary Mann Claimants vs. Allied Capital Group, Inc. William J. Kennedy Respondents CASE #91-01030 AWARD CASE SUMMARY In a claim filed with the National Association of Securitiei Dealers, Inc. on April 3, 1991, Claimants clarence and Mary Mann who appeared Pro Se r alleged that Respondents Allied Capital croup inc. and Wil

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) George Bernardasci ) Claimant ) ) AWARD vs. } ) NASD NO. 91-01029 PaineWebber, Inc. and ) Rick Casterline ) Respondent ) REPRESENTATION Claimant was represented by Norman L. Anthony, Esq. of the firm Anthony & Murdock and respondents were represented by Judy Louie, Esq. of the firm PaineWebber, Inc. SUMMARY OF ISSUES This cas

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hester Locklair and Dan Locklair Name of Respondents Smith Barney Harris Upham & Co., Inc. John Davidson AMENDED STIPULATED AWARD 91-01026 REPRESENTATION For Claimants, ("the Locklairs"): David C. Smith, Esq. of Allman Spry Humphreys Leggett et al. For Respondent, John Davidson ("Davidson"): pro se. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Franklin G. Allen NO. 91-01024 Name of Respondents The Chicago Corporation " Roger B. Winship RBPRESJflfi'ATION OF PARTIES For Claimants: Franklin G. Allen, Esq. appeared pro ae. For Respondents: Brian Martin, Esq. and Carol Genis, Esq. of Bell Boyd & Lloyd, and Joy Schulruff, Esq. ACC of the Chicago Corporation. CA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Lisa Sable Brown Claimant vs. Prudential Bache Securities, Inc. n/k/a Prudential Securities, Inc. Anne Adams Mark Harris Respondents CASE #91-01022 AWARD (-ftgE SUMMARY in a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1991, Claimant Lisa Sable Brown who appeared Pro Se, alleged that Respondents Prude

PUBLFC Arbitration * N.A.S.D. AWARD NATIONAL ASSOCIKTICN OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Abdul R. Kazam Name of Respondent Joni Merwin National Association of Securities Dealers, Inc. NASD Financial Center 33 Whiteha" Street New York, N.Y. 10004 FAX (212) 858-4389 91-01020 For Claimant, Abdul R. Kazam: Ihcnas F. Bullock, Esq. For Respondent, Joni Merwin: Joni Merwin.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne Wilson Case# vs. 91-01017 Name of Respondent Prudential Securities, Inc. Kenneth Michael Osier REPRESENTATION For Claimant: Laurence S. Schultz, Esq. of Driggers, Schultz, Herbst & Paterson. For Respondent: Miles D. Hart, Esq, of Hertz, Schram & Saretsky, P.C. CASE INFORMATION Statement of Claim filed: Marc

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Jfetter of the Arbitration Between Of Howard Rothenberg Barbara Rothenberg 91-01016 Name of Respondents PaineWebber, Inc. Charles H. Gocfrin Randall S. For Claimants: Marc A. White, Esq. For Respondents: PaineHebber, Inc. and Charles H. Godwin were represented by Joseph F. Generelli, Esq. Randall S. Sandstrom was represented by Jfarc B. Dorfman, Esq. of th

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dain Rauscher Incorporated and 01-01806 Dallas, Texas Name of Respondent Todd W. Cowle REPRESENTATION OF PARTIES Dain Rauscher Incorporated ("Claimant") was represented by Bruce Collins, Esq., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Todd W. Cowle ("Respondent") represented himself. CASE INFORMATION The Statement of Claim