N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant(s) Alexandra C. Carmel 91-02365 Name of Respondent! s) Merrill Lynch Pierce Fenner & Smith Inc Shearson Lehman Brothers. Inc. Gail Konstantin REPRESENTATION For Claimant: Katherine Nathan. Esq. of the law firm of Brandeis. Bernstein & Wasserman. For Respondent: John Jenkins. Esq. CASE INFORMATION Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES T7RRTBRS III the letter cf the Arbitratics Sstwasn of Victor H. Goulding 91-02355 of Bear Steams & Conpany and Jamas K. Nugent Claimant, Victor H* nr«iH-< Tvj was represented by Randall S. ^ Esq., and Stephen J. Seoderowitz, Esq. of Greenberger, Krauss & TeDedbaum, Chartered, Chicago, Illinois. RaepcDdaats f Tloar Steams & Ocnpaoy and James K. Nugent represented by Nicholas P.

N.A.S.D. AWARD NATIONAL ASSOCXAITCN OF SfcUJkiTUBS DEALERS In the Matter of the Arbitration Between ) ) Of Alan Brown ) ) ) Case No. 91-02354 ) Name of Dean Witter Reynolds, Inc. Claimant, Alan Broun ("Brown") was pro se. For Respondent, Dean Witter Reynolds, Inc. ("Dean Witter*): Bterd Larfcin, Esq. of Dean Witter Reynolds. Statement of rn«-i™ filed: July 31, 1991. Claimant's Submission Agreement signed: July 19, 1991. R

N.A.S.D. J&K8D NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o£ Donald & Jane Wible vs. 91-2113 Name_of_ Financial Equities Resources, Inc. Kevin Sakser CENPAC Securities Corporation For Claimants: Jeff rey M. Jones, Esq., Elk Grove, California For Respondent: Financial raj^Hag* Stephen P. Harrington and John Stoffere, Financial < B Tfi^ < r^ an Resources, PMiaH^ipVHfl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between pi o f!1flfmflnt TonyYeiter,M.D. Case No. 00-05225 Josephthal & Co., Inc.; Robert Agueli; Robert H. Petersen; Sherwood P. Larkin; Mary Johnstone; Dan D. Purjes; Lawrence R. Rice; and Charles E. Roden Site- Indianapolis, Indiana OF PAffTTES Claimant Tony Yeiter, M.D. ("Yeiter") was represented by Andrew J. Stoltmann, Esq. of the firm — of Maddox Koeller Harge

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mafahal T. Thakkar Claimant CASE #91-02112 AWARD vs. Norstar Brokerage Corp. Respondent CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on July 9, 1991, Claimant Mafahal T. Thakkar who appeared Pro Se, alleged that Respondent Norstar Brokerage Corp., neglected to inform him of their margin polices, and that

N.A.S.iJ. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mafatlal T. Thakkar 91-02111 Name of Respondent Quick and Reilly, Inc. REPRESENTATION OF PARTIES Claimant was represented by Ralph W. Miller, Jr., Esq. of OakBrook, II. Respondent was represented by Joseph Chopey, Esq. of Quick and Reilly, Inc. ( New York, New York. 'CASK The Statement of Claim was filed on

N.A.S.D. NAIICNRL AssoaancNr OF ajjUURiTug DEALERS In the Matter or the Aitoitration Between o f William & Arlene S. Bing vs. NASD #91-02101 Of Pftflnrnryfent-ja Mantgonery Securities Martin S. Cohen For Claimants: Richard D. Ttarmnrt,. Esq., - < 5< * n Francisco, California For Respondents: Brian L. Zagon, Esq., Keesal, Young & Logan, San Francisco, California Statement of daim filed: July 9, 1591 Claimants 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael A. Szczesny, MD Carol A. Szczesny vs. Prudential Securities Charles V. Austin Respondent Claimant CASE #91-02099 AWARD • ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1991, Claimants Michael and Carol Szczesny, who appeared Pro Se, alleged that Respondents Prudential Securiti

N.A.S.D. AWARD NAHCNAL ASSOdKTICN OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of Claimant fs> Donald E. Morrisette Prudential Bachff Securities, Inc. James F. Meodennall Name of Reqpondnnt (a) HASD Arbitration £13.91-02096 For Claimant: Carl H. Hagens, Esq. of Betts Patterson & Mines, PC For Respondents: Kevin 5. Hurley, Esq., Assoc. General Counsel, Prudential Securities Incorporated. CASE Statement of H