N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEGOROIES DEALERS In the Matter of the Arbitration Between Ma* Paine Webber, Inc. 95-O1867 John O. Marquardt SUMMAY In a claim filed with the National Association of Securities Dealers, Inc. Ofl AprU 18/ 1995/CUimiant, r PaineWebber, Inc. rPaineWebbcr"), through 113 representative and in-house counsel, Nicholas P, Kapur, Esq., located in Weebawken, NJ, alleged that Respondent, John O. Marquardt, caused

NASD CASE NO. 95-01865 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William B. Kimberiey Names of Respondents Alex. Brown & Sons Incorporated and Mark Branigan Name of Third-Party Respondent Mark Branigan REPRESENTATION For Claimant: Kevin P. Conway, Esq. of Conway & Conway, New York, New York filed a Notice of Appearance on September 11, 1996; John G. Vega, Esq.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Herman S. Levine NASD Case Number: 95-01864 Sheldon France Gmntal & Company, Inc. REPRESENTATION OF PARTIES Claimant Herman S. Levine was represented by W. J. (Turmy) Wilson, Esq. of Moses, Dunn, Farmer & Tuthill, P.C. located in Albuquerque, New Mexico. Respondent Gruntal & Company, Inc. was represented by Eric S. Hunter, Es

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leah Oliver, Claimant v. T.D. Waterhouse Investor Services, Inc., Respondent Case Number: 01-00953 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: In Pro Per 16150 Ashland Avenue #50 San Lorenzo, CA 94580 For Respondent: Julie A. Kole, Esq. Keesal, Young & Logan Four Embarcadero Center Suite 1500 San Francisco, CA 94580 CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between SCOTT BUCHAN, Claimant, and No. 95-01862 JOHN G, KINNARD & CO., NICHOLAS AMLIE, WESTONKA INVESTMENTS, INC., PAT MCDONNELL and TIM FRIEDERICHS, Respondents. REPRESENTATION OF PARTIES ("Claimant") was represented by Rebecca E. Bender. ("Respondents") were represented, as follows: John G. Kinnard & Co. by F. Chet Taylor; Nicholas Aml

95-01857 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ross Geifand Name of Respondent^ Hanover, Sterling & Co., Ltd. Jeff Vitt Jeff Davner REPRESENTATION Claimant appeared Pro Se. For Respondents Jeff Vitt and Jeff Davner: Michael F. Bachner, Esq., New York, NY. The Respondent Hanover Sterling and Co., Ltd. did not appear. CASE INFORMATION Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Cox 93-00889 Name of Respondents Kemper Securities, Inc.; Michael Watts REPRESENTATION For Claimant: Barbara Cox ("Cox") was represented by Don Fogei, Esq. and Roy Camberg, Esq. of Ware, Snow, Fogel & Jackson, P.C., located in Houston, Texas. For Respondent: Kemper Securities, Inc. ("Kemper") was represented by Will

_ _ N.A.SJD- AWARD NATTONAL ASSOCIATION OF SECTIRITIFS DF.AT.EKS. TNC.. In the matter of the Arbitration Between Toby Turitz NASD Arbitration No.93-00888 Prudential Securities, Inc. Stanley Cameron For Claimant: Brian L. Schall, Esq. T Los Angeles, California For Respondents; E. Scott Douglas, Esq., Keesal, Youof Jk Logan, Long Beach, California Statement of Claim filed: March 9, 1993 Claimant's Submission Agreement signed: February

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth Ray Eilenberg 93-00882 Name of Respondents First Investors Corporation Joseph Parauda Marie Dondero REPRESENTATION For Claimant: John E. Lawlor, Esq. a sole practitioner. For Respondents, First Investors Corporation and Joseph Parauda; Nanette K. Chern, Esq. of First Investors Corporation. For Respondent, Marie

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gordon G. Sherard, Jr. 93-00875 Name of Respondent Smith Barney, Harris Upham & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1993, Claimant Gordon G. Sherard, Jr., who appeared Pro Se, alleged that in January 1991 he signed transfer papers to move his I