N.A.S.D. AWARD- NRTICNRL ASSOdATICN OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) William Gennaro 91-02198 Name of Respondent (s) Alvin Gene Rhodus For Claimant: Claimant William Gennaro appeared pro se. For Respondent: Respondent Alvin Gene Rhodus appeared pro se. GBSS INPCBMftTICM Statement of Claim filed: July 18, 1991. Claimant's Submission Agreement signed on: July 12, 1991. Respondent's Sub

Arbitration National Association of Securities Dealers, Inc. _ _ _ NASD Financial Center NATIONAL ASSOCIATION OP SBCDRTTIES DEAIJERS 33 Whitehall Street ' _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name Of Eastside Medical Services, P.C. Pension Trust M.S. Jafri, M.D., Trustee 91-02196 Mama of Kidder, Peabody & Co., Incorporated Peter Bfott For Claimants B*«fr^ A* ifedig»T Services, P.C. Pen

», » ~ « «,««« N.JLS.D. AWARD NATIONAL ASSOCIATION OP ShUJkiTltS DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant (s) ) ) Caroline Penny Manwell ) of Respondent (s) PaineWebber, inc. Andrew Winston ) Arbitration National Association o* Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Rorida 33301 (305) 522 ' 7391 Case Mo. 91-02194 For Claimant, Car

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In"the Matter of the Arbitration Between Quinn Hartnett Claimant vs. J.W. Charles Securities, Inc. Daniel Dailey Respondents CASE #91-02193 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1991, Claimant Quinn Hartnett, " who appeared Pro Se, alleged that Respondents, J.W. Charles Securities, Inc. and Daniel Dailey opened an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martin A. Bell 91-02189 Name of Respondents Prudential-Bache Securities^. Inc. , now known as Prudential Securities Incorporated; Bear, Stearns & Co., Inc.; Michael H. Novick; Peter D. Matthews REPRESENTATION For Claimant: Martin A. Bell was represented by Tarell A. Friedley, Esq. of the Ahlberg Law Firm, Ltd., loca

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00790 First Union Securities, Inc., claimant/counterclaim respondent vs. Ian K. Stowers, respondent/counterclaim claimant. ATTORNEYS: For Claimant appeared Renan I. Sugarman, Esq., in-house counsel, Chicago, IL. For Respondent appeared Mark R. Wietstock, Esq., Ventura, CA. DATE FILED: February 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay an overdraw defic

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Inanda J. Mohr Claimant vs. Rick LaBare Respondent Case 191-02187 AWARD CASE SUMMARY Pro Se Claimant, Inanda J, Mohr, in a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1991, alleged that Respondent Rick LaBare of Shearson Lehman Brothers, Inc. provided misleading information concerning Lifetime Government

NJUS.D. NATICNAL ASSOdATICN OF SECOJOTES la the Matter of the Arbitration Be to re m Cf Gerald & Lois Ahraos 91-02185 DurJc Davan Boettcher & Company appeared Respondents ware represented by William D. Nelson, Esq. of O'Dorlslo & Rflpacn, Denver, CO* statemeot of Ha-im was filed en or about July 17, 0591. Claimant's Submission AgreeDent signed on July 11, 1991. Statement of Answer filed by Respondents on or about ftrfrffiifrftr 5

PUBLIC _ _— ^M^M Arbitration NASD ——• « N.A.S.D. AWARD "a* 10 ™ 1 Association of Securities Dealers, Inc. ~~~~, ,««~ NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall street ^_^_ _ New York, N.Y. 10004 in the Matter of the Arbitration Between FAX (212)858-4389 Name of Claimant Arthur A. Pachter vs. 91-02184 Name of Respondent Smith Barney Harris Upham & Co., Inc. For Claimant: Andrew L.

NATICNAL ASSOCIATICH OF SHUUKITIBS DEALERS In the Matter of the Arbitration Between Name of Claimant (a) A.G. Etoards & Sens, Inc. Name of Respondent (s) Scott A. Stevenson Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 91-02182 For Claimant, A. G. Boards & Sons, Inc. ("A. G. EAujards") : Michael Gates, Esq. of A. G. Bern