PUBLIC Arbitration N.A.S.D. AWARD NKTXCNRL ASSOdftTICN OP £SiUJiUT.lES DEMURS In the Ifatter of the Arbitration Between Name of Claimants Adler Lee industries Inc. Daniel Lee Apparel Inc. Qualified Retire Daniel Lee industries Inc. Special Accou Daniel Adler C/F Evan Matthew Adler vs. Mane of Reaocpdenta PalaeHefcfcer, Inc. Barry Fishkioi National Astocttton of Securities Oeaton, Inc. NASD Financial Center 33 Whit

N.A.S.D. ASSOCIAHCN 0? SECDRITIES TTRRTiRRfl Ponnld W. Godfrey, individually atvj as Irustee of the Rrnald W. Godfrey Trust: 91-00985 o£ Merrill Lynch, Fierce, Fenner & Snith Inc., Cgpenheiaer & Co., Inc., and William J. Mnqphy For Oainant: Paul Harvey, Esq. of Bell & McGurk, Ltd., Chicago, Illinois Respondent William J. 2tarpby appeared pro se for the ^^••^^ >^i< ^ OQ Octdber 5, 1392. RaspCDdeat William J. Mxcpfay m3"Seen represented by

N.A. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitrat Name of Claimant Blanche Hightower Name of Respondents Otra Clearing, Inc. Madison Chapin Associate, Whitemark Corporation Peter Panariello Mintiy Gesser Steve Bernstein REPR Respondent Otra Clearing, Inc Monson, Esq. in-house counsel Respondent Peter Panariello Respondent Mindy Gesser {"Ge DiBartolo, Esq. of the law DiBartolo. White

N.A.S.D. ANAHD NATIONAL ASSOCTATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between gf Craig H. & Mary F. MnOarmell 91-00980 Name of Respondents Merrill Lynch Pierce Farmer & Smith Inc Kitridge A. Buritsch For Claimants; Charles P. Piven, Esq. For Respondent: Jeffrey P. Bloom, Esq. of the law firm of Mstzger, Gordon, Scully & Mortimer CASE Statement of Claim filed: March 27, 1991. Claimants' Submission Agreements s

N.A.S.D. AWARD NKTICNAL ASSOCIATION OP SBLTJKiTlfcS DEALERS In the Matter of the Arbitration Between Name of Claimant (s) William F. Dacey 91-00974 Name of Respondent < s) Alex Brown & Sons Incorporated Michael Savage For Claimant: Bruce Roth, Esq. of Robert J. Hecker & Associates, IDC. of White Plains, New York. For Respondents: Daniel E. tfclntyre, Esq. of Alex Brown & Sons, Inc. in Baltimore, Maryland. QVSE Statement of Claim f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00973 AWARD In the Matter of the Arbitration Between Ray Corder Claimant vs . Shearson Lehman/American Express, Inc. n/k/a Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY Ray Corder, represented by Frank J. Woodrow of Woodrow, Roushar & Carey, Montrose, CO/ in a claim filed with the National Association of Securities Dealers, Inc. on March 26, 1991, alleged that

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-01796 Stockwalk.com, Inc., claimant vs. Gil A. Neveaux, respondent. ATTORNEYS: For Claimant appeared Claire M. Hames, Esq., of the firm, Miller Johnson Steichen Kinnard, Minneapolis, MN. Respondent did not submit an answer to the Statement of Claim. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance in his customer account.

N.A.S.D. AWARD NKEKML ASSOCtKTECN OP SECURITIES EGAI0S In the Matter of the Axtoitration Between ) ) Name of Claimant (s) ) ) Martin A. Chira ) ) Case No. 91-00966 ) Name of Ross Little ) J.W. Charles Securities, Inc. ) For Claimant, Itertin A. Chira ("Chira"): Michael D. Harris, Esq. of Lewis, Vegosen and Roeeobach, P.A. For Respondents, J.W. Claries Securities, Inc. ("JWC") and Ross Little ("Uttle"): diaries E. Scarlett, Es

In the Hatter of the Arbitration Between Marcus 3. Overton Claimant Case AWARD Claimant | case #91-00964 vg. A.G. Edwards and Sons, Inc. Respondent CASE SUMMARY Claimant Marcus B. Overton, pro se, in a claim filed with the National Association of Securities -Dealers, Inc. on March 26,1391, alleged that Respondent A.G. Edwards and Sons, Inc, failed to deliver a Georaia Investors Quality Tax Exempt Trust Series #14 bond which h

PUBLIC N.A.S.EL AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEKS In the Matter of the Arbitration Between Name of Claimant Katharine J, vs. Of Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Cane # 91-00963 Prudential Securities For Claimant: Bruce D. Johnson, Esq. For Respondent: Debra Roth, Esq. of Phillips, Nizer,