NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02157 AWARD In the Matter of the Arbitration Between Sandy Butterfield Claimant vs. Stephen Nelson Conrad Respondent CASE SUMMARY In a claim filed with" the National Association of Securities Dealers, Inc. on July 15, 1991, Claimant, Sandy Butterfield, who appeared Pro Se, alleged that Respondent Stephen Nelson Conrad purchases unsuitable securities for her investment needs. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Adelaide Neptune vs. Claimant Providence Securities Thomas DePetrillo Respondents Case #91-02156 AWARD CASE SUMMARY Claimant Adelaide Neptune, pro se r in a claim filed with the National Association of Securities Dealers, Inc. on July 15, 1991, alleged that Respondents Providence Securities and Thomas DePetrillo were responsible for an o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jerome B. Bonat CASE #91-02153 Name of Respondent The Placement Group Barry Schneck REPRESENTATION For Claimant Jerome B. Bonat: John Halebain, Esq., of Wechsler, Skirnick, Harewood, Halebain & Feffer. For Respondents The Placement Group and Barry Schneck: Max Folkenflick, Esq., of Folkenflick and McGarrett. CASE IN

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00785 Edwin L. Goss, Executor for the Estate of Elizabeth S. Goss, Joanne G. Shirk, and James M. Goss, claimants vs. Prudential Securities Inc. and David Newman, respondents. ATTORNEYS: Claimants appeared Pro Se through Edwin L. Goss, Four Oaks, NC. For Respondents appeared Marcia L. Williams, Esq., in-house counsel, New York, NY. DATE FILED: February 5, 2001 CASE SUMMARY: Claimants

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02149 AWARD In the Matter of the Arbitration Between Jeffrey S. Stuart Claimant vs. PaineWebber, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on July 12, 1991, Claimant Jeffrey S. Stuart> who appeared Pro Se, alleged that Respondent PaineWebber, Inc. through their broker Randy Sandstrom urged the Claimant to purchase s

Arbitration N.A.S.D. AWARD NATICNAIi ASSOCIATION OP SECERTITES DEALERS In the Matter of the Arbitration Between, Q£ Scott A. Mehring vs. Name of Reanonrfcnts Dean Witter Reynolds Inc. TbanaB O'Neil Scott Seig National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-02147 For Claimant: Anthony Hem, Esq. For Respondent: M*

® N.A.S.D. AWARD NATIONAL ASSOCIATION CEP SECURITIES DEALERS In the Matter of the Arbitration Between ) tfrmift of Claimant (s) ) Irving J. Slotoroff ) ibaneof^teBDon>(s) ) mer & Co., Inc. ) Philip O. Sosnidc Robert B. Hard, Jr. Steven O. Lewin Arbitration National Association of Securities Dsators. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Case No. 91-02144

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N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimants Max C. Reefer Anne G. Reefer vs. NASD #91-02141 Shearson T^i-inpiTi Brothers, Inc. Larry Maize For Claimants: James J. Sullivan, Esq., Pgff* Francisco, California For Respondents: Kathryn L. Krebs, Esq./ of Keesal, Young & Logan, Long Beach, California case Statement of na< m filed: July 12, 1991 Sutnissian Agreemen

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02130 AWARD In the Matter of the Arbitration Between Joseph Sokolski Claimant vs. Dean Witter Reynolds, Inc. Kenneth Padghaiti Frank Dorcak Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1991, Claimant Joseph Sokolski, who appeared Pro Se, alleged that Respondents, Dean Witter Reynolds, Inc., K