Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Michael J. & KoseMarie Tcbin vs. Maine of Respondents Madison Chapin Associates, Inc. William ygi™gn Otra Clearing, Inc. National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212} 858-4389 Case # 91-02832 For Claimants, M

N.A.S.D. AWRRD NAHCNAL ASSOCXMKU OF SECURITIES DEALERS In the rSatter of tua Arbitration Between Q£ Mary Jane Lynch 91-02821 C. Dewey Elliott, lU Dominion For daimant: daiuant. Mary Jane Lynch appeared pro ss. For Respondent: Respondent C. Dewey Elliott. lU appeared pro se. Respondent TVOTflT^on rapj»-ai Qjipoirft^H < ^" was represented by Douglas W. Powell of The Tv™*TiHrwi Ccnpanies located in Dallas, Texas. Statement of Halm filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASE #91-02811 AWARD -.n che Matter of the Arbitration Between Marvin J. and Beverly Conn Claimants vs. Prudential-Bache Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1991, Claimant Marvin J. and Beverly Conn who appeared Pro Se, alleged that Respondent Prudential-Bache Securities, Inc. we

PUBLIC NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Franklin Gottman, DDS - TTEE Claimant vs . Corporate Securities Group Inc. Thomas McGovern Respondents CASE #91-02807 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1991, Franklin Gottman, DDS who appeared Pro Se, alleged that Respondents Corporate Securities Group

Arbitration N.A.S.D. AWARD NATIONAL ASSOdAITCN OF SECDRITffiS DEALERS In the Matter of the Arbitration Between Name of 91-02800 Dr. Joha & Margaret Of Bear Stearns & Cbnpany vs. Derby Securities Inc. National Association of Securities Dealers, Inc. NASD Fnanciat Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 PUBLIC For Claimants John & Margaret ("Claimants' 1 ) : Dr. Bdsall represen

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., In the Matter of the Arbitration Between : Michael A. and Patricia A. McKimmy : : CASE #91-02795 : AWARD Claimants vs. Roy Buckingham and Mike Cowdrey : Respondents : CASE SUMMARY In the claim filed with the National Association of Securities Dealers, Inc. on September 9, 1991, Claimants, Michael A. and Patricia A. McKimmy who appeared Pro Se, alleged that in February 1990

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: West America Securities Corp., (Claimant) vs. Direct Funding, Inc. and Steven Rosenfeld, (Respondents) Case Number: 00-04978 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, West America Securities Corp., hereinafter referred to as "Claimant": James A. Bush, Esq., Law Offices of James Bush, P.C., Carlsbad, CA. Respondents, Direct Funding, Inc. ("Direct"

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paine Webber, Inc. 91-02794 Name of Respondent Jeff Kanter REPRESENTATION For Claimant, PaineWebber, Inc. ("PW"): Michael Alford, Esq. of PaineWebber. For Respondent, Jeffrey Kanter ("Kanter"): Harry W. Haskins, Esq. Haskins CASE INFORMATION Statement of Claim filed: September 6, 1991. Claimant's Submission Agree

Arbitration ® National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between o£ Claimant Edward H. Ledbowitz 91-02789 Hams of Shearson Lehman Brothers, Inc. J. Kenneth Lyons For Claimant Edward H. Leibowitz: Gary J. Cucchiara, Esq. of the law firm of Don

N.A.S.D. AWARD NBTICNAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between of Steve E. Gerlach Kirsty E. Gerlach vs. 91-02351 Name of Respondent (s) Shearson T-ahmari Brothers, lac. For n a 1 mnn ta/Counterrespondents ; Steve E. Gerlach (Pro per) For p< »qprlnrfan^/l^ m ^ g^ ^^a^T«^l^-* Kathryn L. Krebs r Esq., Keesal, Young & Logan Statanent of rq«4« filed: July 31, 1991 ' /rV^Tn4-arTpa