N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kathleen S. Mayers, individually, and C/F Jessica Ann Heller, Matthew E. Heller, and Daniel 1C. Heller vs. NASD #91-03296 Name of Respondents Shearson Lehman Brothers, lac. David Rasmussen For f^a-i-maTyts; Craig S. Paliojuist, Esq., Seattle, Washington For Respondents : Jerry B . ^^^r^r Esq. , Miller, Hash, Wiener

N.A.S.D. AWARD ASSOCTXnCH OF SECURITIES DEALERS Arbitration Between NASD Arbitration No. 91-03288 Name of Respnnrjpnts Smith Barney Harris Upham & Co. James Peterson A. G. Edwards, Inc. For Claimant: John p. Mullen, Esq. - Callister, Duncan & Nebeteer - Salt Lake City Utah For PogprnHianfrM • flm-tt-b Aa-rncy HaZXis Uphaffl. & CO. anrf .Tatmag PeteTSCtl - Judith C. Greene, Esq. - Smith Barney Harris Ojpham & Co* - New York Statem

NATIONAL ASSOCIATION OP N.A.S.D. AWARD DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant (s) ) ) Carl M. Collier ) ) Name of Merrill Lynch Pierce Fenner & flnril-h Tnr } Larry Meyers ) Arbitration National AMoctetion of Stcurttia* Daatore, Inc. Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 91-03285 For Claimant, Carl M. Collier ( "Collier H ) : pro sj. For Respondents, Merril

N.A.S.D. AWARD NATICWSL ASSOCIATION OF SECURITIES HEALERS In the Matter of the AdDitration Between of Allan Byrns NASD Arbitration NO. 91-03279 o£ ewedder Inc. For Claimant; In Pro Se For Respondent: Judy Louie, Esq. of PaineWebber inc. CRSB Statement of Claim filed: October 21, 1991 Claimant's Submission Agreement signed on: October 2, 1991 Statement of Answer filed by Respondent, on: January 13, 1992 Respondent's Nation to

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert D. Rubin, Trustee of the Robert D. Rubin Trust and Parking Systems, Inc. and 01-00809 Kansas Gity, Missouri Stifel, Nicolaus & Co., Inc. U.S. Bancorp Piper Jafrray, Inc. Joseph J. Weinrich, Sr. REPRESENTATION OF PARTIES Robert D. Rubin, Trustee of the Robert D. Rubin Trust and Parking Systems, Inc. ("Claimants"), at the time of the f

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : PUBLIC Richard and Barbara Kozek Claimants va. CASK #91-03278 AWARD Ronald J. Bultman Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 21, 1991, Claimants, Richard and Barbara Kozek, who appeared Pro Se, alleged that in September 1988 Respondent Ronald J. Bultman, a registered repres

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03277 AWARD In the Matter of the Arbitration Between James Ko Claimant vs . Joe Kahn Advest , Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 21, 1991, Claimant, James Ko who appeared Pro Se, alleged that Respondents Advest, Inc. and Joe Kahn sold his 3 calls of Dell Computer Corporation on July 9, 199

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ; / Daniel Pinkie / Claimant ; vs. ; / Shearson Lehman Brothers, Inc., ; Robert Miller ; i Respondents ; CASE# 91-03276 AWARD rag E SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 21, 1991, Claimant Daniel Pinkie who appeared pro se, alleged that Respondents Shearson Lehman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Phyllis M. Day, et al. 91-03274 Name of Respondent^ Merrill Lynch Pierce Fenner & Smith Inc Karen S. Smelker REPRESENTATION For Claimant Phyllis M. Day, D'Arcy Genereaux and Phyllis Shannon: Joseph Spiegal, Esq. of the law offices of Joseph Spiegal. For Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc.: V. James M

PUBLIC N.A.S.D. ANARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Anne Dunlop vs. Bro tnors • Richard Verxochi Joel Raskin Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case ft 91-03273 Claimant Anne Duolcp {"Dunlop") pro se. Fear Respondents c Thrinra