N.A.S.D. AWARD ASSOCIATION OF sucuuiTms HEALERS Arbitration National Association of Securities Cfeatore, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Jfetter of the Arbitration Between Of Kamal Alfaqih and Effat Younis Name of Respondents 91-03883 l Kblaghassi J. Patrick Driver J. W. Gant & Associates, Inc. For Claimants: Kama! Al-Faqin. and Effat Unis appeared pro se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dr. Kathryn Rezek No. 91-03882 Name of Respondents Whale Securities Co. - - **- Heywood Brody Elliot J. Smith REPRESENTATION OF PARTIES Dr. Kathryn Rezek appeared pro se. Respondents Whale Securities Co. and Elliot Smith appeared by telephone and were represented by John P. Bevilacqua, Esq. of Tenzer, Greenblatt, Fa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES ng&TJ33fi f INC. In the Matter of the Arbitration Between Nane_of_Clai3naiit Dennis Johnson and 91-03881 of Quick & Reilly, Inc., Richard Hawaii and Gerald Duprey OF EBKQES Claimant was represented by Lloyd S. darenem, Esq., Hew York, NY* Respondents Quick & Reilly, Inc., Richard Howell and Gerald Duprey were represented by Paul F. McCurdy, Esq. of Kelley, Drye and Warren, P.C.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. MR 13 1993 In the Matter of the Arbitration Between J\\ L Name of Claimants . Hugh H. and Phyllis S. Arnold -" — -~ r - and 91-03880 - . **- Name of Respondents Kober Financial Corp., James Hosch Richard Rouse and Charles Pankey REPRESENTATION OF PARTIES Claimant was represented by Noel Guardi, Esq., Denver, Colorado. Respondents Kober Financial Corp.

N.A.S.D. AWARD ASSOdATICK OF SHllH-LTIES DEMJ3RS In the Hatter of the Arbitration Between Nans of dadsoant Alice Flynn 91-03875 Of Dean Witter Reynolds, Inc. E. Judsaa Booth f Alice Flynn was represented by Robert D. Mitchell, Esq. of Galhut & Associates of Fhoeoiz, Arixrm. RaBpondentSr Dean Witter Reynolds, me* and E* JUdscn Booth ware represented by Curt H. Maeller, Esq. of Dean Witter Reynolds, lac. o£ San C8SB stataieat o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ellen Goddard NASD Arbitration No.91-03874 Name of Respondent(s) Prudential Securities, Inc. Great American Securities, Inc. Bryant Longwell REPRESENTATION For Claimant: Lionel Z. Glancy, Esq., Beverly Hills, California For Respondent Prudential Securities: PatriciaFitzpatrick,Esq.,PradentialSecurities,New York, N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential-Bache Securities Inc. n/k/a Prudential Securities, Inc. 91-03873 Name of Respondent Robert Cohen REPRESENTATION Claimant, Prudential-Bache Securities, Inc. n/k/a Prudential Securities, Inc. ("Prudential") was represented by Newman R. Porter, Esq. and Bradley P. Balson, Esq. of Lewis and Roca, Phoenix, Arizona.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey M. Ruston 91-03872 f Name of Respondents Legg Mason Wood Walker. Inc lames Buehler REPRESENTATION For Claimant Jeffrey M. Ruston ("Claimant"): Christopher M. Houlihan. Esq. of the law firm of Roemer and Featherstonhaueh. P.C. For Respondent Legg Mason Wood Walker. Inc. and James Buehler ("Respondents"): Gerald

STIPULATED AWARD NASD Dispute Resolution, Inc NASD-DR Case No. 00-05283 In the Matter of the Arbitration Between: Avalon Research Group, Inc. Claimant, v. Alan P. Jacobs, et al., Respondents. Representation of Parties Claimant Avalon Research Group, Inc. ("Claimant" or "Avalon"), and Third-Party Respondent Michael Margolies: Joseph A. Ingrisano, Esq., and Jeffrey S. Jacobovitz, Esq., Washington, D.C. Respondents Alan P. Jacobs, Rober

PUBLIC NATIONAL ASSOCIATION OF SSC T JRITIES IEALERS , INC. In the Matter cf Edwin J. and ?atr vs. Keith K. Duneon tne Arbitration Between icia Bushier Claimants Resoondent CASE #91-03868 AWARD CASE SUMMARY In a claim filed with nhe National Association of Securities Dealers, Inc. on December 5, 1991, Claimants Edwin J. and Patricia Buehler who appeared Pro Se, alleged that December 6, 1988 Respondent Keith Dunton