N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Walter L. Morris and 91-02064 Name of Respondents William Sheppard and " *" Lynette Larue Claimant was represented by Russell K. Bean, Esq. of Krys, Boyle, Golz, Reich & Freedman, Denver, Colorado. Respondents William Sheppard and Lynette Larue did not appear at the hearing. CASE INFORMATION The Statement of C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles M. Thorp, m. 91-02062 Name of Respondents Bear Stearns & Company Harry Eugene Hile, HE. Howel Evans Steven A. Urcia REPRESENTATION For Claimant Charles M. Thorp, ffl ("Claimant") appeared Joel A. Goodman, Esq. of the law firm of Goodman & Nekvasil, P.A. located in Safety Harbor, Florida. For Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. iH ^ * K In rhe Matter of the Arbitration Between " tjl - - * '* Name of Claimants Eldon P. Howard and Therese A* Howard and 91-02057 Name of Respondents Larry Malan Chatterley, Consolidated Investment Services, Inc. f/k/a Interfinancial Securities a/k/a Interfinancial Services f/k/a Innovative Financial Services, Mary Kersey-Hood, William Hood, and VSR F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Everett and Emma Johns Claimant vs. PaineWebber Incorporated Kevin C. Maddox Respondents CASE #91-02055 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 2, 1991, Claimants, Everett and Emma Johns, who appeared Pro Se, alleged that in September 1989 they transferred their account from Merri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name John W. Logan Case No. 00-05216 Gordon H. Thompson; and Brent G. Thompson Hearing Site: Nashville, Tennessee PAPTTF.S Claimant John W. Logan ("Logan") was represented by Nader Baydoun, Esq. of the firm of Baydoun & Reese, located in Nashville, Tennessee. Respondents Gordon H. Thompson ("G. Thompson") and Brent G. Thompson ("B. Thompson") were represente

< S> N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Arbitration National Aaaodation of Securities Dealer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Carolyn Rauch Tipping Kama of PaineWettoer, Inc. Martin Sloane Case No.91-02052 Claimant, Carolyn Rauch Tipping ("Tipping") was pro se. For Respondent, PaineWe

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joel D. Kurtz "9PD2050 Name of Respondents William McMahon Dean Witter Reynolds. Inc. REPRESENTATION OF PARTIES For Claimant at the hearing: William A. Erharr. Esq. of Marvin & Erhart, Anoka, Minnesota, For Respondents at the hearing: Scott E. Richter, Esq. of Popham Haik Schnobrich & Kaufman, Minneapolis, Minnesota. CA

Award 91-02049 Page 1 of 3 N.A.S.D. AWARD NAITCNRL ASSOdKTICN OF SECURITIES DEALERS In the Hitter of the Arbitration Between Of L. & gl 4 TahoJ-fri J, 91*02049 Of A.G. Boards & Sons, IDC. James Lome Begbie GF EBBTD3S Claimants were represented by David J. Stephenson, Esq. of Bucholtz, Bull & Swing, Denver, Colorado. Respondent A.G. Bctards & Sens, Inc. was represented by William S. Port, Esq. of A.G. Etfeaxds fie Sens, Inc.,

2T.A.S.D. AWftKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Curt M. Peterson NASD Arbitration No. 91-02046 Maine of Respondent Harper McLean & Co. For Claimant: In Pro Se For Respondent; Michael P. Rodin Esq. - Puget Sound Securities, Inc. case IMPCIMBTICN Statement of Claim filed: July 1, 1991 Claimant's Submission Agreement signed on: June 22, 1991 Statement of Answer filed f

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. NKTIGNSL ASSOCXXTXCN OP SfeOJRiTIKS DEALERS 33 SD _ __ New York. N.Y. 100O4 In the Matter of the Arbitration Between FAX (2 12) 858-4339 Adrienne and Michael Miller 91-02043 of Resixirulmts Brothers, Tnn. William Burfce William Gray Claimants Adrienne artf l Michael Miller {"Claimants") ware .rgyi' 1 *'"** 1 *' 0 ** by Mich