N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the fitter of the Arbitration Between T.inda H. Loughridge Claimant and F. Stephen Allen Kidder Peabody & Cotpany, Inc. PaineWebber, Inc. Respondents In a Statement of Claim filed with the National Association of Securities Dealers, inc. ("NASD") on April 30, 1990, Claimant Tiinda H. Loughridge alleged that Respondent F. Stephen Allen, while acting as an agent of or employe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Solomen & Elvira Rangel 90-01208 Name of Respondent's) Shearson Lehman Hutton, Inc. Lee Gleeman Arbitration National Association of Securities Dealers. Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 /990 ^ r Case Solcmen and Elvira Rangel ("Claimants") alleged that

N.A.S.D. AWARD Arbitration ® _ NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between * ,-« • ^ , i Name of manumit (s) Wayne D. Williams Mane of Respondent (s) National Association of Securities Dealers. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Rohda 33301 t 305 ) 522-7391 Case No. 90-01207 Merrill Lynch Pierce Fenner & Staith Inc ) ) Claimant, Wayne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the totter of the Arbitration Between Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Richard H. Jforrow Name of Respondents Ray McLeod Philips, Appel & Walden, Inc. Jesup & Lament Securities, Inc. 90-01204 For Claimant: Brian H. Mahany, Esq. of William A. Despo, P.C. For Respondent R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Patricia 0. Hipps vs. The Stuart-James Co., Inc. Claimant Respondent CASE* 90-01203 Heard before: James C. Bussart, Esq. Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 21, 1990, the Claimant Patricia 0. Hipps alleged the Respondent invested substantial amounts of Claiman

Arbitration w a Q n wawn National Association of N.A.b.u. AWAKU Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the ftotter of the Arbitration Between Name of Claigant: Robert D. Barnes 90-01202 Name of Respondents; Securities Settlement Corporation Equities International Network 1 Financial Securities, Inc. Mark Cuthbert

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Matter of the Arbitration Between Katy Richards Claimant: AWARD vs . :JASD =90-01197 American Pacific Securities Judith Niles Resoondents REPRESENTATION Claimant was represented by M. Van Smith . ^sq. , sole practitioner. Respondent: American Pacific Securities was represented by Ralph Singman, Ssq. 3t Steinberg, Miller * Goldstein. Respondent Judith Niies was represente

N.A.S.D. SWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfetter of the Arbitration Between Name of Claimant (s) Thomas & Judith Crimnins 90-01193 Name of R.L. Kotrozo, Inc. Raymond Kbtrozo Carol KOtrozo In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD"} on April 26, 1990, Claimants Thomas D. Criitmins and Judith Crimmins alleged that Respondents R. L. Kotrozo, Inc., Raymond L. Kb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between nf Claimant Ferris, Baker Watts, Inc. Case No. 01-00649 Jack Stone Hearing Site: Baltimore, Maryland Claimant, Ferris, Baker Watts, Inc. ("FBW"), hereinafter referred to as "Claimant": Dana M.S. Wilson, Esq., Ferris, Baker Watts, Inc., Baltimore, MD. Respondent, Jack Stone ("Stone"), hereinafter referred to as "Respondent" did not appear at the hearing. TNFOPM A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ere Matter of the Arbitration Between Name of Claimant^ s } Lewis I. and Sylka Lisook, et al 90-01192 Name of Respondent f s) MAR 2 2 1991 Allan J. Feldman, Barbara J. Feldman, and Ttotal Services r Inc. _. _..,-.—-, »T RATION -CHICAGO ___ J In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about April 26,