PUBLIC NATIONAL ASSOCIATION OP N.A.S.D. AHASD DEAI£RS In the Matter of the Arbitration Between Name of Claimant (a) Dorothy Plory 91-00839 A.G. Boards & Sens, Inc. Wallace Maclaafcey Arbitration National Association o SftcurttiM Dealers, Inc NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 For Claimant: Anthony J. Earn, Esq. For Respondent: Hose H. Schindler, Esq. of A.6. Shards &

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In^'the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. CASE *91-00833 AWARD Tim J- Harrington Respondent CASE SUMMARY Dean Witter Reynolds, Inc. by its counsel, Dominick J. Dorata, Esq. f New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on March 15, 1991, alleged that Respondent Tim Harrington has failed to sati

N.A.S.D. 2WBD o£ Afa.ua and 91-00826 Join G. **i ••••••! £ Go., Hoc. Beep OF Claimants Panfrin and Jeanne AhM were represented by Terrence J. Fleming, Esq. of Lindquist & Vennum, M4nm< Mpr^Ha f Minnesota. Respondents John G. Klunard & Oo. r Inc. and Kendall Smith were represented by Ted S. Meikle, Esq. of Predrikson & Bryan, Minneapolis, Minnesota* case In a Statement of Halm filed with the National Association of

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00755 Nina Swann, claimant vs. Preferred Securities Group, Inc. and Ted Malkasian, respondents. ATTORNEYS: For Claimant appeared Jeffrey P. Coleman, Esq., of the Coleman Law Firm, Clearwater, FL. For Respondent Preferred Securities Group, Inc. appeared Carole R. Bernstein, Esq., Westport, CT. Respondent Ted Malkasian appeared Pro Se, Atlanta, GA. DATE FILED: February 14, 2001 ~~~

HJL3.D. 3NKKD ASSOCIWICN OF SBCDEITIES DERLEES -^y la the Matter of the Arbitration Between Mane of fia-jngmt , ..__ Dantcn D. Wirth 91-00824 Name of ThMrnon Letaan BrotbersTlnc- CSf 1989CQ5 Claimant nas repiooentod by Jbba O. Phillips, Esq. and A. Peter Gregory, Esc of TT * 11 t Evans, Denver, Colorado. Respondent was represented by John s. Lutz, Esq. and Elizabeth A. Bryant Esq. of Kelly, Stansfield & O'Donnell, Den

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ray R. and Myrtle L. Redd Claimants vs . CASE f91-00823 AWARD Merrill Lynch, Pierce, Fenner & Smith, Inc. Brad Winters Respondents CASE SUMMARY Pro Se Claimants Ray R. and Myrtle L. Redd, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1991, alleged that Respondent Brad Winters, while an account ex

W.A.S.D. AHAKD NKTKKMi ASSOCIAIXCN OF SBCORTOES la the Matter of the Arbitration £et»ieea MgPB Of Shearson Brothers, Inc. dint G. 'ilfe(£?[!UM|; 91-00818 Stephen T. Rangen CLainant,. Shavsoa T^KMMTI Brotbfirs^ Inc. was represented by J< , Esq. of Lewis & Roca, Phoenix, Arizona. B. Respondent, dint G. Taiibach MBS repreeented by Jon A. Titus, Esq. and Thonas W. Dmnhne, Esq. of Titus, Bruedmer & Berry, Soottsdale, Arizcua. Ibir

N.A.S.D. £ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen Name of Pamela S. Vance nf MLB Investments, Ltd. RAF Financial Corporation ffodesitt, Bushnell, Lucas Group Donna Bushnell Kenneth Lee Lucas Jeffrey Evans Modes itt I', 91-00813 Claimant Pamela S. Vance was represented by Dean A. Aarestad, Esq. and Tamara Walters, Esq. of Aarestad & Dihle, P.C., Denver, CO. Respondent RAF Finan

NASD N.A.S.D. AWARD Arbitration National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS- Securities Dealers, Inc. NASD Financial Center In the Matter of the Arbitration Between ?, 3 w * ite £ a " 3tr * e ' < «„„„ New York, New York 10004 Name of Robert A. Petrillo and Anne Petrillo 91-00811 Name of Respondent ( s \ James Whitten Philip Pinkert Claimants, Robert A. and Anne Petrillo we

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeffrey Robinson Claimant vs . Amerimutual Corporation Respondent SUMMARY CASE 191-00809 AWARD Pro Se Claimant Jeffrey Robinson, in a claim filed with the National Association of Securities Dealers, Inc. on March 13 , 1991 , alleged that an agent of Amerimutual Corporation "cold called" him and provided misleading information concerning Guin