N.A.S.D. AWARD ASSOdATICH OF SECURITIES DEALERS In the Matter of tbe Arbitration Between of Charles M. Bennett 91-03135 Dean Hitter Reynolds, Inc. For Claimant: Charles M. Bennett was represented by Charles Wist, Esq. of Wist Boyd. Holland & Dailey, located in Houston, Texas. For Respondent: Dean Witter Reynolds, Inc. was represented by Wendy R. Robinson, Esq. of Dean Witter Reynolds Inc., San Francisco, Statement of maim filed: October 8, 1

N.A.S.D. AWARD NATICNAL ASSOdATTCN OF SECURITIES DEALERS In the Matter of the Arbitration Between } ) Name of Claimant (s) ) =«=_== } Marianna R. Hodge ) Case No. 91-03133 ) ) Name of Respondent (s) ) sa _ ===fe===te ^ Prfrvtr>am-l*iii^i1irtty CO., Inc. ) KBatSflgf.LHCI.JXlf For Claimant, M»THarm* Hodge ("Hodge"): Janes C. Cothran, Jr., Esq. of Holcombe, Bomar, Cothran & Gunn, p. A. For Respondent, af*vingr« H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Cubic and Carmen Fortenberry Case No. 91-03132 Kober Financial Corp. Victor Alexander a/k/a Viktor Joerg Wieschalla Randolph Kahl-Winter James Allen REPRESENTATION - ^-i "^.: For Claimants: Cubic and Carmen Fortenberry ("the Fortenberry s"): T. Kevin Knight, Esq. of Drage, DeBeaubien, Knight & Simmons. For Re

Arbitration HTATS.D. AWARD \-/ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between of Anthony M. & Josephine A. Orlando vs. Jesup, Josephthal & Co Inc. National Association of Securities Dealer*. Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-03131 For Claimants, Anthony M. and Joseph A. Orlando, Btaxd T. Dangel, in, Esq. and co-coun

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03130 AWARD In the Matter of the Arbitration Between Milton Levin Claimant vs. Paul Keiley Respondent «. ** CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1991, Claimant, Milton Levin, who appeared Pro Se, alleged that on March 7, 1991 Respondent Paul Keiley, a registered representative at Barrett Day Securities, I

MOU-17-1953 16:07 FROM HhSD-HRE I TRfiT IQN-CNICftGD TO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of John D. Paulson 91-03122 Nae of Dougherty Dawkins Strand & Yost REPRESENTfUQN For Claimant. John Paulson, at the hearing: Brace Pearson, Brace Pearson, luc. , Fargo, North Dakota. For Respondent. Dougherty Dawkins, Strand & Yost at the hearing: Frank A. Taylor, Esq. of Poph

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Case Number: 00-05242 John P. Edmonds Respondents Hearing Site: Chicago, Illinois First Union Securities, Inc. and Paul Emerson REPRESENTATION OF PARTIES Claimant, John P. Edmonds, Esq., hereinafter referred to as "Claimant," represented himself and has law offices located in Chillicothe, Illinois. Respondents, First Union Securities, Inc. and Paul Emerson, he

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02507 AHAKD In the Matter of the Arbitration Between Mark M. Gates Claimant vs. PaineWebber, Inc. Respondent C!A5E SUMMARY "in a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1991 f Claimant Mark M. Gates who appeared Pro Se, alleged that Respondent PaineWebber, Inc. wrongfully liquidated a purchase of Solomon Warrants,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02506 AWARD In the Matter of the Arbitration Between John D. Peterson Claimant vs. Thomas James Associates Ron Wheet Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 13, 1991, Claimant John D. Peterson, who appeared Pro Se, alleged that Respondents Thomas James Associates and Ron Wheet sold the Claimant' s Sunris

N.A.S.D. AWARD NATIONAL ASSQCXAHQbt OP fjiJLTJRl'i' * ^ HEALERS la the Matter of the Arbitration, Between p£ Jorge & Mary Trcw Garcia 91-02503 of John 6. Klnnard and Company, Inc. Paul Shiite Suuinit For Claimants: Mark Briol, Esq. and Gregory Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent Paul Shute: Terrene* J. Fleming, Esq. of Llndquist & Venoum, Minneapolis, Minnesota. For Respondent Sutmdt Investment, Inc