N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy Lindgren and Galen Skramstad, as Trustee of Lindgren & Enquist, D.D.S. Profit Sharing Plan ^_ No. 91-03559 Name of Respondents Summit Investment Corp. G. James Spinner Robert Paymar Name of Third-Party Respondent Kevin Miller REPRESENTATION OF PARTIES For Claimants: James R. Anderson, Esq. For Respo

PUBL/C Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOdAXICN OF .SMLIJkiTlKS DEALERS NASD Financial Center _ 33 Whitehall Street In the totter of the Arbitration Between Of m Farcufc Solljnan 91-03556 Name of Recpgigent Q & R Clearing Qorp. For Claimant: Stuart Kaufman, Esq. of Pisch ft Kaufman.. For Respondent: Thonas J. McCabe, Esq., a sole practitioner. Statement of Claim filed: Nbvent

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Estate of Ossie L. Sandefur by Richard P. Scaietty, the Personal Representative No. 91-03553 — Name of Respondents _ . ^ Shearson Lehman Brothers, Inc. Mark S. Greenway REPRESENTATION OF PARTIES For Claimant: Richard P. Scaietty, Esq., Independence, Missouri. For Respondent Mark S. Greenway: Ray E. Sousiey, Esq. of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASE #91-03538 AWARD In the Matter of the Arbitration Between Shiva Kumar Akula Claimant vs. Si Timberman Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 11, 1991, Claimant Shiva Kumar Akula", who appeared Pro Se, alleged that Respondent Si Timberman of Donaldson Luftkin & Jenrette, bought and sold 1,000 shares o

PIIRflC Arbrtration N.A.S.D-. AWARD National Association of Securities Dealers, Inc. NKTICNAL ASSOdRTXCN OP SmURi'l'l Bfi EEAI£RS NASD Fnancial Center 33 Whitehall Street — = - _ u „ „„ - 2-Iu - » . ._ - ; - r-r- - New York. N.Y. 1 0004 In the Matter of the Arbitration Between. FAX (212)858-4389 flfama o Gretie A. M-Hnam & Doleres R. Harvey Case ft vs. 91-03531 Invest Financial Carp. For Claimants, Cretie A. *< ***r*arrt *

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Antonio & Carolyn Romano Claimants vs. Albert A. Matani Respondent SUMMARY PUBLIC CASE #91-03529 AHARD In a claim filed with the National Association of Securities Dealers, Inc. on November 8, 1991, Claimants, Antonio & Carolyn Romano who appeared Pro Se, alleged that Respondent Albert A. Matani, a registered representative of Kochcapital, e

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05269 Theodore K. Krueger, claimant vs. Charles Schwab & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Sturgeon Bay, WI. For Respondent appeared Mauricio S. Beugelmans, Esq., in-house counsel, San Francisco, CA. DATE FILED: November 28, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute trades as requested thereby causing a loss in his account. Claim

i Arbitration National Association of N.A.S.D. AWARD 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 Matter of the Arbitration Between Mame of Claimants Cameron Grammas and J. Gusty Yearout 91-03525 Name of Respondents Bradford (J. C.) & Co. For Claimants Cameron Grammas ("Grammas") and J. Gusty Yearout ("Yearout"): Ca

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sarah & David Berens David L. Berens,M.D. T P.C. Pension Plan 91-03524 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Michael C. Fitch REPRESENTATION For Claimant: James I. Myers. Esq. of Renaldo. Myers, Regan & Palumbo, P.C. For Respondent: Carolyn Nussbaum. Esq. of Nixon, Hargrave, Devans & Doyle.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF- SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jerry C. Ayoub and 91-03523 — Name of Respondents . ^^-^ ._^^^__ -, ~&i~ Shearson Lehman Brothers, Inc. Harry Winters REPRESENTATION OF PARTIES Claimant was represented by Mark Grissom, Esq. r El Paso, Texas. Respondents were represented by Joseph L. Hood, Esq. of Scott, Hulse, Marshall, Feuille, Finger &