HJLSJ). 3IOBD OP HaiiiiiTiiai iffflffCTS In *•>*» M|| Ir | of Ob Minor and B.F. n/lc/a SKBCSQQ Zfomn BroOKCS, IDC* » - -«*- BeBpCDdeota OF PRPTTTS Claimant Jo Minor appeared pro se. Respondent E.F. Bitten & Ccnpany, Inc. n/k/a flhearacn Tiphmnn Brothers, Inc. vas represented by Mark T. Carberry, Esq. case In a Statenoit of Claim filed with the National AsaociaHm of Securities Dealers, Inc. ("NASD") on or about February 25

^ - _ ^K^M® Arbitration - J%gnjgyj — * ^*^*^«^ National Association of Securities Dealers, Inc. NASD Financial Center N.A.S.D. AWARD 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Harold Altaian 91-00624 Name of Respondents Invemed Associates, Inc. Harris Berenholz For Clairrant: Jeffrey Herrmann, Esq. of the law firm of Cohn f L

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEMJ3RS In the Matter of the Arbitration Between Name of Claimants Cecelia^leisinger & J. Allan Gleisinger 91-00623 Name of Respondent Charles Schwab & Company, Inc. For Claimants: Claimants Cecelia and J. Allan Gleisinger represented themselves. For Respondent: David Montgomery, Esq. frcm the lawfixm of Keating, Mjething & Klekanp. Statement of Claim filed on: February 25, 1991. Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00622 AWARD In the Matter of the Arbitration Between Kevin & Kim Kitterman Claimants vs. Hibbard Brown & Company, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2 6 , 1991, Claimants, Kevin & Kim Kitterman who appeared Pro Se, alleged that Respondent Hibbard Brown 5s Company, Inc. deceived them into purchasin

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00618 AMARD In the Matter of the Arbitration Between Robert W. Connelly Claimant vs. Dean Witter Reynolds, Inc. William S. Kellar Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1991, Claimant, Robert W. Connelly, who appeared Pro Se, alleged that Respondents, Dean Witter Reynolds, me. and Willia

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration. Between Ifame of naHTTcmfc Baybank Brokerage Services, Inc. vs. Ifamo of Respondent Louis P. Feat Case # 91-00616 Star Claimant: Norman L Vexnon, Esq., in-house counsel. PCX Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES. DEALERS In the Matter of the Arbitration Between Name of Claimants Jane Gale Tony and Lorraine Sherman Mona and David Montonaro Consolidated No.s: 91-00611; 91-00712 Name of Respondents Mutual Service Corporation John M. Culbertson REPRESENTATION OP PARTIES For Claimants: Steve Samson, Esq., Chicago, Illinois. For Respondent Mutual Service Corporation: Robert J. Jonker, E

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Catherine L. Daidone, Gordon A. Soeder and Linda G. Smith Claimants vs. itherine L. Daidone vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITH CASE #91*00610 AWARD Gordon A. Soeder vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITH CASE #91-02105 AWARD Linda G. Smith vs. Sherman Fitzpatrick & Co., Inc. Sherman F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert M. Rubin, The Rubin Family Irrevocable Stock Trust, and American United Global, Inc., (Claimants) v. M.S. Farrell & Co., Kirlin Securities, Inc., Douglas F. Gass, and Martin F. Schacker, (Respondents) Case Number: 01-00733 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert M. Rubin ("Rubin"), The Rubin Family Irrevocable Stock Trust ("Trust"), an

N.A.S.D. AWAMX NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naige of Claimants Lorenzo & Sarah Franza vs. NASD #91-00593 Name of Respondents Shearson Lehman Hutton, Inc. Richard T. Hensel, Gene Williams, Jr., Wall Street Pacific REPRESENTATION For Claimants: Charles Cummins, Esq., San Jose, California For Respondents (Shearson Lehman Hutton and Richard Hensel): Philip McLeod, Esq. and Robert