NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03272 AWARD In the Matter of the Arbitration Between Robert D. Stanwood Claimant vs. Lincoln Investment Planning, Inc. Edward S. Frost, Sr. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1991, Claimant, Robert D. Stanwood, who appeared Pro Se, alleged that on May 16, 1991 Respondent Lincoln Investment Plan

Arbitration ® National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECORmES DERLERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Mane of Dean Witter Reynolds Inc. 91-03270 Name of Respondent Mark Perrone For Claimant: Erica Bunin, Esq. of Dean Witter Reynolds, Inc. For Respondent; Barry R. Smith, Esq. of the law firm o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03269 AWARD In the Matter of the Arbitration Between Wyn L. Lydecker Claimant vs. Midkiff Capital Group, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 17, 1991, Claimant, Wyn L. Lydecker, by and through John C. Lydecker, Power of Attorney, alleged that he instructed Respondent Midkiff Capital Group, Inc. to p

Arbitration ® National Association of e • Securities Dealers, Inc. N.A.3.D. AWARD NASD Financial Center 33 Whitehall Street NBTICNAL ASSOCIATION OF SBCDRTPIES DEALERS New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Of Raymond E. Dropik 91-03266 Name of Respondents Charles Schwab & Company, Inc. For Claimant: Louis Rabil, Esq. For Respondent; Dean G. Carlson, Esq. of the law firm of Charles Sct

•' M.A.SJX AJffiED ASSCOXnCN OP SECURITIES EEHLEBS la t±ie Ztetter of tte Azfeltzaticoi BatMeen Of n Estate of Max Fiatar, Charlotte laler VS. of Ben Oriand atathers, Inc- Arbitration AsiociattQn o* oaton* Inc. MASD Fmancal Center 33 Whitehall Street Mew York. N.Y. 10004 FAX (2125858-4389 case # 91-03265 For Claimant; Josepb H.Keaaan, Esq. of tiae law fizm of Boctot & Keenan, : Arttair C- ScbiiE*ach, Eaq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of SecuritiM D«*ler», Inc. One East Broward Boulevard Suite 1000 Ft. LauderdaJe. Rorida 33301 (305) 522-7391 Hark & Barbara Ckun and Edith Braunstein tfame of Respondent (s) Datek Securities Corp. Li twin Securities Inc. Felix Staolensty Case No. 91-03264 For Mark Barbara Ctam ("Cfcun 11 ) ar| d Braunstei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRITIES DEALERS In the Matter of the Arbitration Between ) Name of naiinant(s) ) Halter and Lillian Webetbauer, TTEES. ) Name of Respondent (a) ) Investment Management & Research, Inc. ) For j Walter aTV * Lillian Weberbauer Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Ft. Lauderttele, Ronda 333QJ_ (305) 522-7391 Case No. 91-03263

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between T of a P i *.; '- Richard Matthew Becker ) ) Case No. 91-03262 Name of Otra Clearing, Inc. Claimant, Richard M. Becker ("Hecter") : pro se. For Respondent, Otra Clearing Corp. {"Otra") : Scott Hanson, Esq. of Otra. Statement of ^»< ™ filed: October 17, 1991. Claimant's Submission Agreement signed: October 10, 1991. Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann H. Shafnacker 91-03261 Raymond. James & Associates. Inc. Peter Bucchieri Claude Lochet Investment Timing & Research. Inc. Bucchieri &. Lochet, Inc. Investment Manasement and Research. Inc. REPRESENTATION For Claimant Ann H. Shafnacker ("Claimant"): T. Christopher Donnelly, Esq. of the law firm of Donnelly. Conro

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCORTTTES DEAI^RS In the Matter of the Arbitration Bet&»en National Association of Securities Dealers. Inc. NASD F : nancial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2121 858-4339 Lindsay H. Welling, Jr. VB. Mane of Respondents Brew (Alex) & SODS Incorporated Robert V. Ballard CASE # 91-03260 Claimant, Lindsay H. Welling, Jr. ("Claimant 11