PUBLIC N.A.S.D. 3NAKD ASSOdATIClT OF SSCDRTTIES DEALERS In the Hatter of the Arbitration Between NamaafClaimant Purushottam Rathi vs. NSBBS Of Chatfield Dean & Co., Inc. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-03410 For Claimant: Barry Friedman, Esq. of Spevack & For Respondent: Stephen E. Kapoik of

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECdRirns DEALERS In the Matter of the Arbitration Between Name of Rcnnlri F, Rawlinson Sara Ann Rawlinson vs. NASD #91-03399 Terry Glen J. Ii-.ts Sentra Securities Corporation For naSTnant-q* rlaHTnani-q r ^T *- t ffPP t ''= > ^ thflBSel V6S . For Respondents Anderson and Lutz: Roger D. Ma3 1.em F Esq., Foster Pepper & Shefelman, Seattle, Washington* EOT Responde

NJUS.D. AWARD ASSOCXAHCN OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Robert Aider as 91-03398 Mamas of Respaadfint(s) David Kenney For Claimant: Michael Bertz, Esq. of 1801 Century Park East, Ste 2400; Los Angeles, CA 90067. For Respondent: William wnftumjaaii^ Esq* of Fhpnrgrf 1 T^>"«n Bros. case Statement of Haim filed: October 29, 1391 Claimant's Submission Agreement signed on: November 15, 1991

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Goetzel Three Year Trust Warren W. Koffler, TTEE va. Gruntal & Co., Inc. Edward Lefkow Claimant CASE #91-03397 AHARD Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1991, the Goetzel Three Year Trust, Warren W. Koffler, TTEE, who appeared Pro Se, alleged that R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hornblower & Weeks, Inc. and CJR Equity L.JLC., (Claimants) vs. Clark L. Bosserman, (Respondent) Case Number: 00-05263 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Hornblower & Weeks, Inc. ("Hornblower") and CJR Equity L.L.C. ("CJR"), hereinafter collectively referred to as "Claimants"; Frank J. Zazzarro, Esq., Imperial, Zazzarro & Calabro, P.A., M

PUBUC N.A.S.D. AWARD ASSQCIATICN OF SECOTOT32S DEAUERS In the Matter of the Arbitration Between NameofClaiinant; Douglas J. T^v^^n 91-03395 NameofRfiSjDgndent Christopher Boeckhaus Claimant appeared pro se. Respondent did not attend *"**? hearing. OVSE Statement of Claim filed on: October 25, 1991. Claimant's Submission Agreement signed on: February 27, 1991. Statement of Answer filed by Respondent Christopher Boeefchaus on: Febr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Charles A. & Barbara J. Voorhees Claimants CASE #91-03388 AWARD ~ - • *•- vs. Murphy Favre, Inc. Roger L. Dean Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1991, Claimants Charles A. & Barbara J. Voorhees who appeared pro se, alleged that Responde

HJL.S.Z). JWOUSD ASSOCTAnCN OF SHCCBQRX55 BEAXfiRS la tta setter of the Ad?itratioa Productivity Derekgxnait Corp. 91-03387 Rotan Hoale Inc. Of da±mnt v«s rcpteaented, by Join j. Allan, nz« its Reapcctfe&t ws rtjiresented tiy Michael R. Alford, Esq. of PaineWctber, ovag The Stateoaot of f^filir vaw filed on or about Ostobar 28, 1391* dadinant's SubntsslGa Aaroawct WBS uosignfid tut notttdzfid an Nbvafaac 14 f 1391 as if signed lay Jo

N.A.S.D. AWARD NKTICNMi ASSOCIATION OF SECDRmES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Christopher Quill vs. NASD #91-03384 o£- Smith Barney Harris Upham & Co. , Inc. Patrick Gabrielli For Claimant: Mitchell C. Green, Esq., Los Angeles, California For Respondents: larry H. Iron, Esq., snrH-fr Barney Harris Upham & Co., New York, New York Stataneat of Claim filed: October 28, 1991 Claimant's Submission

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : PUBLIC Irineo P. Diaz, Jr. Claimant vs. CASE #91-03383 AWARD Payton D. Crosaley Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 28, 1991, Claimant, Irineo P. Diaz, Jr., who appeared Pro Se, alleged that Respondent Payton D. Crossley, a registered representative with Dean Witter purc