NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02720 AWARD In the Matter of the Arbitration Between William & Elizabeth Rich Claimants vs. Madison Chapin Associates, Inc. OTRA Clearing Inc. William Kellman Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 3, 1991, Claimants, William & Elizabeth Rich, who appeared Pro Se, alleged that in July, 1991 Responden

N.A.S.D. AWARD Assodancw OF SHTDRITIES DEALERS In the Matter of the Arbitration Between of John Ramljak vs. 91-02718 Mams of Bear Steams & Go, Inc. Steven Antebi For Claimant: Ann A. Andersen, Esq., Woodland Hills, California For Respondents: Stephen Young, Esq. aTlf * Michele R. Fron, Esq., Keesal, Young & Logan, lung Beach, California Statement of Haim filed: August 30, 1991 •Claimant's Submission Agreement signed on: Augus

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Hendrik S. Bakkar Claimant vs . Dean Witter Reynolds, Inc. Sean Ali Respondents CASE #91-02717 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 30, 1991, Claimant Hendrik S. Bakkar, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and Sean Ali failed to follow

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Southwest Securities, Inc. and SWS Financial Services, Inc. and 01-00802 Dallas, Texas Name of Respondent Anthony J. Dominiec REPRESENTATION OF PARTIES Southwest Securities, Inc. and SWS Financial Services, Inc. ("Claimants") were represented by Corbet F. Bryant, Esq., Carrington, Coleman, Sloman & Blumenthal, Dallas, Texas. Anthony J. Domi

N.A.S.D. AWARD SffiTONRL ASSOCnnCN OF SECURITIES DEUERS In tbe Matter of the Arbitration Between of Charles Sdbwab & Co., Inc. 91-02714 . Earrell & GO. , IHC. by Brigid A. Lane, Esq. of Brill, Sinex & Stepfaenson, located in Houston, Teras. For T3«rrg y ^t/O?™tP T '- rr! *•*""*•' Jack A. Farrell was represented by Delia H* Stephens, Esq. of Houston, Texas. CRSB Statement of ^a^Tn filed: August 30 r

•:: • - vy ur. , 2I.A.S.D. 3WRKD , !Zl-l--'^ ... V >! NKTIOfflL ASSOCIATION OF SECCRTTIES DEALEBS \\ • :q j § j^2 ' * In she Macter of the Arbitration Between to " 1I01W li 1 of na-JTnanc " " TpATiON-CHiC - Karen A. Ifetwal 91-02713 Donna G. Garltcn Garlton a«rf Associates, Inc* IntezCap Financial CdrDoracicai John R. Frye, Jr. For Claimant Karen Netwal: Ibomas A* Jodd, Esq. of Lambert & Boeder, P.A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Samuel Rea Jewell and ' 91-02709 - - "~ -'- -!»"•. Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Brennan REPRESENTATION OF PARTIES Claimant Samuel Rea Jewell was represented by Lael S. DeMuth, Esq of DeMuth & Kemp, Denver, Colorado. Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. a

N,A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Jfetter of the Arbitration Between of Claimant Jane Anne Ellis Name of Respondents Tnng Grove Trading Conpany Carolyn S. Bishop No. 91-02708 For Claimant: James J. Moylan, Esq. of Janes J. Moylan and Associates, Ltd. , Chicago, Illinois, For Respondents: Corri D. Fetman, Esq* of Levin & Ginsburg, Ltd., Chicago, Illinois. cass Statement of Claim filed: August 28, 199

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter- of the Arbitration Between: Marvin G. Frank Claimant CASE t91-027OT vs. Global America, Inc. Eric P. Jones Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 29, 1991, Claimant, Marvin G. Prank, who appeared Pro Se, alleged that on December 27, 1990 Respondent, Eric P. Jones, a registered representativ

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Southwest Securities, Inc. and SWS Financial Services, Inc. f7k/a Brokers Transaction Services, Inc. and 01-00798 Dallas, Texas Name of Respondents Robert D. Rogers REPRESENTATTON OF PARTIES Southwest Securities, Inc. and SWS Financial Services, Inc., f7k/a Brokers Transaction Services, Inc. ("Claimants") were represented by Corbet F. Bryan