N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nasuib Yassa MODIFIED AWARD 91-03820 Name of Respondent Paul Christopher Keiley REPRESENTATION For Claimant Naguib Yassa ("Claimant"): David V. Soeiro. Attorney at Law. For Respondent ("Respondent"): Paul Christopher Keiley: appeared pro se. CASE INFORMATION Statement of Claim filed: December 4. 1991 Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-00840 Prudential Securities, Inc. Name of the Respondents Hearing Site: Houston, Texas Rhea Laws and RHL Capital Group Limited Co., L.L.C. REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc., hereinafter referred to as "Claimant": David D. Sterling, Esq. of Baker Botts L.L.P., Houston, Texas. Respondents Rhea Laws ("

N.A.S.D. ASSOdATICN OF SiXUki'i'lKS DEALERS In the Matter of the Arbitration Between of James E. Caouette vs. NASD #91-03814 of Harry R. Burfce For daimant: James E* Caouette For Respondents* Harry R. Burke Statement of ^a-'in filed: r^^tmtt^w 3 1 1591 daimant 's Submission Agreement signed: November 26 r 1991 Statansnt of Answer filed by Respondent: February 10, 1992 Respondent's Submission Agreement signed: February

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03813 AWARD In the Matter of the Arbitration Between Marie H. Miller Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1991, Claimant Mark H. Miller, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. through

N.A.S.D. AWARD NAHCNAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Betweai Of Frances R* PrM-^Hng NASD Arbitratica Ho.91-03810 Name of Respondent Merrill Lynch, Pierce, Fenner &. Smith, Inc. Mark Mathes Troy Schaben For CladiDant: claimant >• ny f -maga^t-ia^ herself - For Respoiadents: Michael E. Olney, Esq., Merrill Lynch, Pierce, Fenner & New Yozfc, New York, Statement of (Tla-im filed: August U r

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Aleric D. & Jane C. Rainville Case No. 91-03807 Name of Resoondemfsl Shearson Lehman Hutton, Inc. Michael Megeath REPRESENTATION Claimants, Aleric D. Rainville Jr. and Jane C. Rainville ("the Rainvilles"): were JEQ se. For Respondent: Shearson Lehman Hutton, Inc. ("Shearson") and Michael Megeath ("Megeath"): Cory Hohnbaum,

7UKH34-1S92 15:04 FSQM NASD-flPB! TPPTI O- 1-CN! C.QGC *D N.A.S.D. AWARD NATIONAL ASSOCIATION 0? SECURITIES DEALERS la the Matter of the Arbitration Between Mama of Claimant Francis Ann Edelman No. Name of Kennedy Cabot & Co,, Inc,, and Marc Pink 91-03805 RBPRBSSSTOTIOflr OF PARTIES Claimant, Francis Ann T*3ft1nian of Scottsdale, Arizona , appeared pro se. Respondents r Kennedy Cabot fe Co., inc.. and Marc Pink were r

N.A.S.D. AWARD ASSOcxKncti OF SBCDRXT^S DEMSIS In the Matter of the Arbitration PUBLIC Martin Wlnkler, M.D., P.C. Pension Plan 91-03804 Prudential Securities/ lac. For Claimant: Martin Wlnkler. Poor Respondent Prudential Securities, Inc. ("Respondent") vas represented by Gerard Kowalaki, Esq. in-house counsel at Prudential. Statenent of HalTn filed: De«jqi*.>fff 2, 1991. Claimant's g*^H»Httg^rr^ Agreement signed en: November 29, 1991. St

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Lynn A. Pestle, DDS, MS Money Purchase Pension Plan Claimant CASE #91-03796 vs. Linsco/Private Ledger Corp. Richard Ford Respondents AHAKD CASE -SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1991, Claimant, Lynn A* Pestle, DDS, MS, Money Purchase Pension Plan, who appeared Pro Se

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between - Name of Claimant Michael David Hargrove 91-03793 Name of Respondents Madison Chapin Associates William Kellman Mark Allen Bolender CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimant Michael David Hargrove, who appeared Pro Se, alleged that on or about July 1