2048B ...NATIONAL ASSOCIATION OF SECURITIES Dqft$BRfi,-INC... In the Matter of the Arbitration * • Between: PAINEWEBBER INCORPORATED, Claimant, Case No. 91-04125 against THOMAS P. BURGESS, Respondent. STIPULATION FOR ENTRY OF ARBITRATION AWARD IT IS HEREBY STIPULATED AND AGREED by and between Claimant, PAINEWEBBER INCORPORATED ("PAINEWEBBER"), Respondent, THOMAS P. BURGESS ("BURGESS"), that the arbitrators empaneled to hear the a

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfaUJHl'i'lES DEALERS In the Matter of the Arbitration Between Name of 91-04123 Dcnincfc and Celia Xervasi Name of P**^* IH^II!n PaineWebber, lac. Howard R. Siegel Paul W«ier National Association of Securities Deafer*. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 PUBLIC For Claimant; Far Respondent: William A. DeLo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00866 Thurman S. Musiaine and Jerrold R. Mwstaine, claimants vs. NatCity Investments, respondent. ATTORNEYS: For Claimants appeared Peter F, von Meister of the firm Green & Green, Dayton, OH. For Respondent appeared Cynthia J. Foresta, Assisiam Compliance Director, Cleveland, OH. DATE -FILED February 21, 2001 CASE SUMMARY: Claimants alleged thai respondent placed them in an investment

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Alan Diane Green 91-04116 Name of Respondent (s) J.W. Gant and Associates, Inc. Darren Dietrich For Claimant: Edtaard J. Dovin p Esq. of Page & Bacefc in Atlanta, Georgia. Until June 30, 1992, Respondents were represented by Jeffrey S. Rosen, Esq. of DeMarfino Finfcelstein Rosen & Virga in Washington, D.C. After that time, t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph F. Carlow. M.D. - Trustee tor the Joseph F. Carlow. M.D.. P.C. - Defined Benefit Pension Plan and The Joseph F. Carlow. M.D.. P.C. Target Benefit Plan 91-04114 Name nf Respondents Ronald W. Laessig Laessie Investment Company REPRESENTATION For Claimant Joseph F. Carlow, M.D. - Trustee for the Joseph F. Carlow. M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert Myers 91-04112 Name of Respondents - - **- American Trading & Investment, Inc., Jeffrey Myers and Ron Wigington REPRESENTATION For Claimant: Gretchen Z. Kennedy, Esq. of Day Hewett & Federman, Oklahoma City, Oklahoma. For Respondents American Trading & Investment, Inc. and Ron Wigington: A. Daniel Woska, Eaq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or Claimant Joseph Neirnan Case # vs. 91-04111 Name of Respondents Prudential Securities Inc Jay Tittlebaum REPRESENTATION Claimant, Joseph Neiman ("Claimant") was not represented by counsel. For Respondents, Prudential Securities, Inc. ("Prudential") and Jay Tittlebaum ("Tittlebaum"), Anthony Paduano, Esq., from the law firm of Sm

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04104 AWARD In the Matter of the Arbitration Between Dan Smargon Claimant vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 30, 1991, Claimant, Dan Smargon, who appeared Pro Se, alleged that in April 1987, Respondent, Shearson Lehman Brothers, Inc. by and through their Fi

N.A.S.D. AWARD ASSOdATICN OF SECURITIES HFaTJRBfl tha Matter cf tha Aifcitratian Between Q£ Willa Sorenson 91-04099 p£ HuttCQ, IBC* and Thonas Sullivan Claimant, Willa Sorensoa, was represmted by Gail E. Bolivar, Eaq. of tha Bolivar low Fixm, Mushalltobo, Iowa and John P. Bienoan, IH r Esq. of Biexman & Biecnnan, P.C.« Grinnell, Iowa., Hutton, Inc» and T*""? Sullivan, rapresaated by Victor A. M^iy-incn J Esq. of Shear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants Michael Perry Rachel Perry - — Elizabeth Gustafson - **- 91-04095 Names of Respondents First American Biltmore Securities, Inc. Randall Evans Gordon Nevers Members Service Corporation REPRESENTATION Claimants, Michael Perry, Rachel Perry and Elizabeth Gusiafson were represented by Paul J. Roshka, Jr., Es