Arbitration H.A.S.P. AMMP National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street In the Matter of the Arbitration Bets«n New York, New York 10004 Qf George C. Nasir 91-00910 A.G. Ecfeaxds & Sons, Inc. John P. Leaner For Claimant George C. Nasir ( "Claimant ") : William C. Drollinger, a sole practitioner. For Respondents A.G. Edwards & Sons, Inc. ("AGESI") and John P. Leaner ("Leaner") : Jeff Jamies

Arbitration National Association of SecuritiM Deators, Inc. NASD Financial Center 33 .Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS fj e JHbrk t N.Y. 10004 FAX (212) 858-4389 CASE /91-00904 AWARD In the Matter of the Arbitration Between Nemchand & Sheila Shah Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, inc. Respondent CASE SUMMARY In a claim filed with the National Association of Secu

N.A.S.D. AWARD NMTCNAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clirlimnt(s) Margaret R. Bruschi Name of PpfmnrvVnt (s) Ken Broun Case No. 91-00902 For Claimant, Margaret R. Bruschi ("Bruschi") : Michael R. Casey, Esq. of Casey & Molchan, P. A. For Respondent, Ken Brown ("Brown") : Adam S. Doner, Esq. of McGee, Jordan, Shuey, et al, P. A. Statanaat of Claim filed: March 19, 1991 and amended on Ju

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Neil R. Hause vs. Case #91-00900 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant, Neil R. Hause ("Claimant"), Richard W. Kearney, Esq. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") Bryan G. Killiam, Esq. from the law firm Sherin and Lodgen. CASE INFORMATIO

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Scott M. Butler Case No. 01-00763 Name of Respondent Paine Webber, Inc. REPRESENTATION OF PARTIES For Scott M. Butler ("Butler"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq. of Sadler & Hovdesven, P.C., Atlanta, Georgia. For PaineWebber, Inc. ("PaineWebber"), hereinafter referred to as "Respondent": Michael D. Lee, Esq. of Schuyle

N.A.S.D. AWARD ASSOCIATICN OF SECURITIES DEAIERS In the Matter of the Arbitration Between Name of ClaiTiHnt(a) Willard Ducote Barbara Ducote 91-00893 First Investors Corporation Kevin Keleher For Claimant : Willard Ducote and Barbara Ducote appeared pro se. for Respondent? First Investors Corporation and Kevin Keleher were represented by Glenn R. Reichardt of Kirkpatrick & Locfcnart, Washington, D.C. CftSB Statement of Claim filed: M

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f91-00888 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Daniel Paine Respondent CASE SUMMARY PaineWebber, Inc. by its counsel Edward G, Warner, Weehawken, NJ, in a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1991, alleged that Respondent, Daniel Paine/- had failed to satisfy a., debit .balance in his customer,

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *91-00887 ANAKD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Robert E. Foy Sheila M. Foy Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1991, Claimant, PaineWebber, Inc. by anc through their in-house counsel, Edward G. Werner, Esq., alleged that in October 1987 Respondent, R

N.A.S.D. AWftHD NATICNAL ASSOCEKTICN OF SBCDRITTES DEALERS In the Matter of the Arbitration Between Name of Speyer anri Pauline Speyer -•. -**> 91-00882 of P^gpon^'^t (s) Dean Witter Reynolds, Inc. William Stem, Jr. For Claimants: landon Speyer and Pauline Speyer were represented by Gerald S. Siegmyer, Esq. of Richie & Greenberg, P.C., Houston, Texas. For Respondents: Dean Witter Reynolds, Inc. and William Stern, Jr. were represe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman H. and Ann R. Imberman Claimants vs . Resource Securities Corp. Respondent CASE 191-00879 AWARD CASE SUMMARY Norman H. and Ann R. Imberman, in a claim filed with the National Association of Securities Dealers, Inc. on March 19, 1991, allseed that Respondent, Resource securities Corporation, originany Known as Ruff Secuiitieb Corporati