&.&.5.D. AWARD ASSOdATICN OF SBCDRITIES DEAI2ZS In the Matter oz the Arbitration Between Nabil A. Khabbaz 91-02181 Charles Sdtaab & Ccnpany, Inc. Mark Lawrence Vickie Seitner Jbtsi ZKH GF EMTTIKB dainant vaa represented by Rex J* Ridawur, Eaq. of Dircks, Bldeoour, tfonnan and Maoek, Davenport, Iowa. Respcodents were represented by Soott W. Ptowkes, Esq. of Kirfcland & Ellis, Chicago, Illinois. Ito Statement of maim was filed on o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Amvets Money Pruchase Pension Fund 91-02178 Name of Respondents PaineWebber, Inc. Amos Mitchell REPRESENTATION For Claimant: Leonard J. Henzke, Esq. of the law firm of Lehrfeid, Canter & Henzke. For Respondent: Joseph Generelli, Esq. CASE INFORMATION Statement of Claim filed: July 16, 1991. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Margaret Seated ) ) vs. ) Case No: 91-02170 ) Name of Respondent's) ) - ) Adtvest, Inc. ) Bruce L. mniHn ) Charles Obsusin ) For Claimant, Margaret Seatcn ("Seaton"): Russell L. Forkey, Esq. For Respondents, Advest, Inc. ("Advest"), Bruce L. MlnTrln ("Minfcin") and Charles Cbsusin ("Obsusln"): Jack Stein, Esq. of Stein,

N.A.S.D. AWRRD NATIONAL ASSCdATICN OF SECORICT2S DEALERS In the Matter or the Arbitration Between Of Darene L, Lewis Personnel r IDC. NASD Arbitration No. 91- 02169 Q£ Brothers Albert Franklin Dunlap For claimants: Jeff Dennis Ferentz, Esq., anri Kyle Kennerly, Greenbaum and Ferentz, Newport Beach, California. For Respondents: Kathryn L. Krebis, Esq., Keesal, Young and Logan t Long Beach, California. Statement of Haim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert H. Hardy, M.D. and 91-02168 Name of Respondents Prudential Securities ,~T!Tc. Donald S. Robbins REPRESENTATION OF PARTIES Claimant was represented by Max D. Crittenden, Esq. and A.L. Rhodes, Esq. of Rhodes, Heatherly & Myers, Abilene, Texas. Respondent Prudential Securities , Inc . was represented by Corbet

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00789 Joni J. Becker, Claimant vs. Robert F. Kasel, Respondent. ATTORNEYS: Claimant, Joni J. Becker, appeared pro se, New York, NY. For Respondent, Robert F. Kasel, appeared Peter Bon Viso, Esq., in-house counsel for Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, NY. DATE FILED: February 16, 2001 CASE SUMMARY: Claimant alleged that respondent was negligent in making unsuita

ARBITRATION DEPARTMENT NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. 515 EAST Us OLAS SUITE 1100 FORT LAUDERDALE. FL 33301 305-522-7391 FAX 305-522-7403 N.A.S.D. AWARD Ou« MisS'CN: P°CV::E c: , NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Adolfo Olloqui Name of Respondents Shearson Lehman Brothers, Inc. Alberto Alvarez Alejandro Lacayo 91-02167 REPRESENTATION For Clai

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Allen and Michelle Gaggini Lorraine Cowgar 91-02164 Name of Respondents The Ohio Company Dennis 0'Brien REPRESENTATION For Claimants Allen & Michelle Gaggini and Lorraine Cowgar ("Claimants"): Anthony V. Trogan of Weisman Trogan et al. For Respondents The Ohio Company ("Ohio") and Dennis O'Brien ("O'Brien"): James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris A. Weinberg 91-02163 Name of Respondents Smith Barney Harris Upham & Co., Inc. (n/k/a Smith Barney Shearson) Charles W. Rainwater REPRESENTATION For Claimant Doris A. Weinberg ("Claimant"): Jack M. H. Frazier, Esq. of the law firm of Reasoner, Davis & Fox and Katherine H. Kalinowski, Esq. of the law firm of Baber

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Standard Press, Inc. Profit Sharing Plan Name of Respondents Norris & Hirshberg. Inc. Dan L. Weinberg Robert A. Rosenberg Newton Osborn 91-02160 For Claimant: For Respondent: REPRESENTATION James Stuart Youngblood, Esq. Respondents Newton L. Osborn and Robert A. Rosenberg were represented by Richard W. Jones