N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES D£AI£RS In ths Matter of the Arbitration Between Mama of , John 0. & Jeanne Kriens 91-00689 of Dain Bosworth Incorporated Charles J. Feenstra For Claimants: Frank J. Susak, Esq. of the Law Offices of Frank J. Susak, Esq. For Respondent Dain Bosworth: Mark Turner, Esq. of Ater, Wynne, Hewitt, Dodson and Sterritt For Respondent Feenstra: Pro per Statement of Claim filed: March 5

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of Blanche Price Nuernberger No. 9100687 Name of Respondent Norstar Brokerage Corporation REPRESENTATION OF PARTIES For Claimant: Robert P. Beilfuss, Esq. of Davis & Cichorski. For Respondent: James Mukoyama, Jr., Branch Manager, Chicago Office, Norstar Brokerage Corporation. CASE INFORMATION Statement of Claim f

N.A.S.D. WARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between ArMMton Nfttftoiul Securities of , Inc. NASD Financial Ctnter 33 Whitehall Street New York, New York 10004 Warren and Jean Moore 91-00685 Prescott, Mil & Turben, Inc. Houston Terry Hogle For Claimants: Wesley A. Gersh, Esq., Attorney at Lav/ For Respondents: William H. Falin, Esq. of Arter & Hadden Statanant of Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00681 AWARD In the Matter of the Arbitration Between Barry S. Birkenholz Claimant vs . Charles Colchamiro Ladenburg, Thalmann & Co., Inc. Respondents CASE SUMMARY Barry S. Birkenholz, in a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1991, alleged that Respondents failed to properly research the credibility of ZZZZ Best Co. before r

N.A.S.D. AWARD NATIONAL ASSOCIATION OP ?>ij IJRJ'IMKS! DEALERS In the Matter of the Arbitration Between Letitia Baxter and Lois Sears 91-00679 Ifamo of Respondents Smith. Barney Harris Upham & Co., Inc. Victor DiLeo FMflTKS Claimants were represented by Robert G. Hancock, Esq. of Hopp & Associates, TI*I 8 IfJIIK^B lit * CD. Respondent Smith Barney Harris Djohaxn & Co. , Inc. was represented by Susan E. Harkins, Esq. of Smith Barney Harri

ONATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C1aimants Blanche Lazar and Jadzia Weissalz vs. 91-00678 ORDER Name of Respondents Prudential Bache Securities, Inc. John E. Mullins IT IS HEREBY ORDERED, Pursuant to Section 43 of the NASD Code of Arbitration Procedure ("Code"), the undersigned arbitrators hereby order that Claimants Blanche Lazar and Jadzia Weissalz are liable, jointly and

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE #91-00677 AWARD In the Matter of the Arbitration Between Jack Weimer Claimant vs. Brad (Todd) Ruderman Peter Pelton Philip H. Waxelbaum Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1991, Claimant Jack Weimer, who appeared Pro Se, alleged that Respondents Brad (Todd) Ruderman, Peter Pelton and Philip Waxelba

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between DAVID L. JONES, Claimant, - against - LAIDLAW HOLDINGS, INC., LAIDLAW HOLDINGS ASSET MANAGEMENT INC., LAIDLAW EQUITIES, INC., WALTER H. BAUR , MICHAEL F. FAHEY , JR., HUGH REGAN, GOTTFRIED von MAYERN- HOHENBERG, DAVID N. BOTTOMS, JR. and WALTER L. TWISTE, Respondents . STIPULATED AWARD X WHEREAS, on or about February 27, 1991, David L. Jones (

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Charles H. Vessely, III and 01-00738 Omaha, Nebraska American Express Financial Advisors, Inc. REPRESENTATION OF PARTIES Charles H. Vessely, III ("Claimant") was represented by Michael B. Kratville, Esq., Omaha, Nebraska. American Express Financial Advisors, Inc. ("Respondent") was represented by Jon C. Furgison, Esq., Nash & Edgerton, Hermosa Beach, California.

N.A.S.D. AWARD ASSOCIATION OF SSCORITCES DEALERS In the Matter of the Arbitration Between Of Alan C. Stuart A.C. Stuart and Conpany, Inc. AWARD vs. NASD #91-00673 of Respondents PaineWebber, Inc. Jackson & Curtis aka PadneWebber, Inc. Scott Ozer Par f*i a •< *"«"*"«? Michael Paule For Respondents: Judy Louie,. Esq. QSB Statement of Haltn filed: March 4, 1991 ria-iTnar^fl* Suimission Agreements signed: February 26, 1991