NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Claimant vs . Stuart-James Company, Inc. Kerry Oliver Respondents CASE SUMMARY Pro Se Claimant, Thomas Dawkins Sutton, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1991, alleged that Respondents have failed to mail him his stock certificate for 50,000 shares of Independent Air Holdings, Inc. in spite of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In" the totter of the Arbitration Between Muriel Olsen Claimant and 91-00802 ' Hutchison Financial Corporation, "Martin Lonski and Dave K. Hutchison - '••**• Respondents OF Claimant Muriel Olsen was represented by Kevin D, Hofoian, Esq. of Briol & Wilmes, Minneapolis, Minnesota. Respondent Hutchison Financial Corporation was represented by John Daubney, Esq. , St. Paul, Minnes

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Cavalieri E. Wanda Cavalieri Claimants vs. The Stuart-James Co., Inc. Respondent CASE #91-00801 AWARD CASE SUMMARY Anthony and E. Wanda Cavalieri, represented by John McNeill, Boca Raton, FL, in a claim filed with the National Association of Securities Dealers, Inc. on March 13, 1991, alleged that Respondent, in spite of their knowle

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00754 Bill Rogers, claimant vs. Christopher Goslin and JW Genesis n/k/a First Union Securities Financial Network Inc., respondents. ATTORNEYS: For Claimant appeared Harold L. Harkins, Jr., Esq., Tampa, FL. For Respondents appeared Gregory S. Tendrich, Esq., in-house counsel for First Union Securities, Inc., Boca Raton, FL. DATE FILED: February 14, 2001 CASE SUMMARY: Claimant all

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00646 Ellen J. Lee, Claimant vs. ChaseMellon Financial Services, L.L.C, Respondent. ATTORNEYS: Claimant, Ellen J. Lee, ("Claimant"), appeared Pro Se, Pecos, TX. Respondent, ChaseMellon Financial Services, L.L.C., ("Respondent"), appeared through it< ; Senior Compliance Officer Winston A. McLaughlin, Esq., Ridgefield Park, NJ. DATE FILED: February 14, 2000. CASE SUMMARY: Claimant all

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NianieofClaimant Patricia A. Bennett Name of Respondents R.G. Dickinson & Co., Inc. and " *" KimMilbollan ^18)992 91-00797 OP Claimant was represented by Scott W. Johnson, Esq. of Johnson & Johnson, Colorado Springs, Colorado. Respondent were represented by James R; Miller, Esq. and Russell C. Burfc, Esq. of Hopper and Kanouff, P.C., Denver,

N.A.S.D. AWARD NATICllftL ASSOCIATION OF SECURITIES DERLERS In the Matter of the Arbitration Between Name of Joe F. Gallagher vs. 91-00795 Dean Witter Reynolds, IDC. Wallace J. Stlvdng For Claimant: Gregg A* Johnson, Esq. , San Diego, California For Respondent: Wend/ R* Robinson, Esq., Dean Witter Reynolds, Inc., San ftzancisco, Statement of Claim filed: Btorch 13, 1391. Claimant's Submission Agreement •igpyjt Much 11, 1991 Joint Sta

PUBLIC Arbitration N.A.S.D. AWARD NKTICNMi ASSOdAHCN OF SBCDRTTIES National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Hitter of the Arbitration Between. Den P. Broom, ttee/Brett L. Brown Trust Don P. Brown, ttae f /b/o Brett Lofton Brown Den F. Brown, ttee/Misty F. Brown Trust Name of ResncrvfrTita Fabnestock & Co., Inc. Carlo A. Uses

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claiinants C.A. ar>H Claris vs. NASD #91-00791 Name of Responriants -Part 10 Securities, Inc. James Partial A.G. Edwards & Sons, Inc. joaaagatgf.ma.Mm For Claimants: ArchiJbald M. Mall IH, Esq., Old Sacramento, California For Respondents P^^tent-Lal-By* 0 Securities, Inc. and James Darden: Michael J. Lawscin r

9 KJLS.D. MMD ASfiQCIAnCM Of HHJJILLTiaS CBA1SS In tbe Mtter of the Arbitration Sebum Itortba and Tcmci Bomiar 91-00790 Mwrill Lynch Piazce Farmer 6 SttLth Inc . Hardolino Arbitration National Association ol Socurttlai DMUn, toe. NASO Financial Ctnur 33 Whitehall Stro* New Ytofk.N.Y. 10004 FAX (212) 858-4389 and Trad Merrill Lyncb. Finca Donald H. Tbcdolino ("itedoliao") t CbarL ^I Drain, a 6 asLth, mo. ("