PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alan R. Childress Mary Ellen Childress Claimants CASE #91-02350 vs. AWARD Fidelity Investments, Inc. Respondent * CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 31, 1991, Claimants Alan R. & Mary Ellen Childress who appeared Pro Se, alleged that Respondent, Fidelity Investments, Inc

N.A.S.D. AWARD NATICNAL ASSQCIKnCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Sharon Robinson NASD Arbitration vs. No. 91-02344 PaineWebber, inc. For Claimant: Sharon Robinson For Respondent: Scott Ratchick, Esq. Statement of cia-im filed: August 20, 1991 Claimant's Submission Agreement signed on: July 23, 1391 Statement of Answer filed by Respondent on: October 21, 1991 Respondent, PaineWefcber* s Submission Agreemen

N.A.S.D. AWARD NOTICNAL ASSOCIAHCN OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Milton Nevitt 91-02342 Name of Respondents Tucker Anthony Incorporated John Hancock Clearing Corporation Lucas P. Hriston REEfag3jgri3U.-j.CK For Claimant; David B. Neman, Esq. of the law firm of Coqpezxnan Levitt & Winikoff, P.C. For Respondents: Paul A. Liebennan, Esq. INPCgMftTICK Statement of Claim file

N.A.S.D. AWARD ASSOCEATICN OF SBCDRITIES DESkLERS tbe Matter of the Arbitration Between of Flora H* Walldorf. 91-02341 Name of ent Keegan & Oniony, Inc* "UN g2 ic:.y Claimant, Flora H. Walldbrf was represented lay W. Neil ftjcmas, III, Esq. of Shumacter & r n^n^tuiMi f Chattanooga, Tennessee* Respondent, Morgan Fopgan & Ccnpany, Inc. was represented by Michael Richards, Esq. of TT*H aTroi i f Donelsoa,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Margaret C. Matthews 91-02338 Name of Respondent(a) Dean Witter Reynolds, IhcT Prudential-Bache Securities Inc. Southwest Securities, Inc. Robert F. Doviak, II REPRESENTATION OP PARTIES Claimant was represented by James Fox, Esq. and Peter J. Karabas, Esq. of Abramson & Fox, Chicago, IL. Respondents Southwest Securi

N.A.S.D. AWARD ASSQdEnCN OF SEGORITIES DESLERS In the ifetter of the Arbitration Between Of Joe C. Quezada and Bernice M. Quezada vs. NASD #91-02336 Name_o£ Respondents Smith Barney, Harris Ujpham & Co., Inc. Richard Mason Nicholas Levenetz Francis Treybal For daiaants: 'Robert Roth, Investors Arbitration Services, Inc., Woodland Hills, California. For Respondents i log*** Barney, Harris Djpham: Soott E* Kresch, Esq., Smith Barne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04974 George H. Bane, claimant vs. Ameritrade, Incorporated, respondent. ATTORNEYS: Claimant appeared Pro Se, Delray Beach, FL. Respondent appeared through in-house counsel, Andrew Harger, Esq., Bellveue, NE. DATE FILED: November 9, 2000. CASE SUMMARY: Claimant alleged that respondents failed to provide prompt notification of margin interest on stocks assigned to him. ARBITRATOR

PUBLIC Arbitration National Association of N.A.S.D. AHARD Securities Oeaters* Jnc. NASD Financial Center ASSOCIATION OF SECURITIES DEALERS 33 whitenaii street New York. N.Y. 10004 PAX < 212) 858 - 4389 In the Matter of the Arbitration Between Of Calvin G. 91-02329 Name o£ Wheat , First Securities, Inc. For Claimant Calvin G. 7fir \ {"Claimant 11 ): Michael R. Miller, Esq. of Southmocyd Simpson & Miller.

PUBLIC Arbrt ration N.A.S.D. AWARD NATICNAL ASSOdKTICN OF SBCDRTTIES DEALERS In the Matter of the Arbitration Between Name of National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212} 858-4389 Antoinette & Andrew DeMarsico vs. of Gasae # 91-02326 USLIFE Equity Sales Corp. William A. Levioe For Claimants: Antoinette DeMarsico. For Respondent, U

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Anthony Ricciardelli Claimant vs. Global America Inc. and Prudential Bache Securities, Inc Respondents CASE #91-02324 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 31, 1991, Claimant, Anthony Ricciardelli, who appeared Pro Se, alleged that Respondent, Global America Inc. failed to follo