Arbitration N.A.S.D. AWARD NATIONAL ASSOCTA2TCN OF SECORITE3S DEAXJ3RS In the Matter of the Aztoitzmticn MBDB Of William vs. # 91-02884 Paiaeffttber, Inc. Christopher Papa AlleaG. Snider National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Star Claimant: Pro se. Vfemar, Esq., in-house State of cOadm filed* Septenbeo: 18, 1991

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Name of Claimants Theodore E. Bindrim & Barbara L. Bindrim t as Trustees of Theodore E. Bindrim Profit Sharing Plan as successors to Theodore E. Bindrim Architect P.C. Pension Fund

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald R. Burris 91-02882 Name of Respondent , -.. *- S.C. Costa Company, Inc. REPRESENTATION For Claimant at the hearing: Pro Se. For Respondent at the hearing: Virgil L. Gaither, S.C. Costa Company, Inc., Tulsa, Oklahoma. CASE INFORMATION Statement of Claim filed; September 17, 1991. Claimant's Submission Agreemen

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert W. Hollis, III Claimant vs. Dean Witter Reynolds, Inc. Karen Varnhagen Respondents CASE #91-02880 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 17, 1991, Claimant, Robert W. Hollis, III, who appeared Pro Se, alleged that Respondents Dean Witter Reynolds, Inc. and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Walter S. Hojka, Sr. No. 91-02877 Name of Respondents Advest, Inc. Ray DeRobbio ~ ^ Herbert J. Sims & Co., Inc. REPRESENTATION OF PARTIES For Claimant: Henry F. Field, Esq., Chicago, Illinois. For Respondents Advest. Inc. and Ray DeRobbio: Kevin M. Flynn, Esq. of Coffield Ungaretti & Harris, Chicago, Illinois. For R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in che Matter of the Arbitration Between John A. & Mary G. Firimonte Claimants vs. Otra Clearing, Inc. Madison Chapin Associates William Kellman Respondents CASE #91-02871 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 17, 1991, Claimants John & Mary Firimonte, who appeared Pro Se, alleged that Respondents Otra Clearin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02860 AWARD In the Matter of the Arbitration Between Cynthia Rundlet Claimant vs. Prudential Securities, Inc. Stephen Ziomek Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 16, 1991, Claimant Cynthia Rundlet, who appeared Pro Se, alleged that Respondents Prudential Securities, Inc. and Stephen Ziomek misled h

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02857 AWARD In the Matter of the Arbitration Between Ann L. McCuddy Claimant vs. Keith N. Hensel Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 13, 1991, Claimant, Ann L. McCuddy who appeared Pro Se, alleged that Respondent Keith N. Hensel; who was recommended by Claimant's accountant; invested her $150,000.00 li

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rahim Multani, Claimant v. A.G. Edwards & Sons, Inc. and Michael W. Adams, Respondents Case Number: 00-04984 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael Huberman Michael Huberman & Assoc. LaQuinta, California For Respondents: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irwin K. Kline, Trustee of Lankenau Pathology Profit Sharing Trust and Pension Trust 91-02847 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Surtees MacKercher REPRESENTATION Claimants Irwin K. Kline, Trustee of Lankenau Pathology Associates Profit Sharing Trust and Pension Trust ("Claimants" or "Trusts")