N.A.5.D* AWARD NOTICNRL ASSOCianCN OF SECURITIES ng&T.iapg In the Matter of the Arbitration Between pf Adolph Buerckel and Lucille Kellett 91-02322 Mama of Shearson Tj>>»m»n Button, Inc. and Richard R. McKinley dalnants, Jktolph Buerctel and Lucille Kellett were represented by Paul « Of Respondent, Shearson T^hman Brothers, Inc. was represented by Ton Galbraith, Esq. of Lewis and Roca, Phoenix, Arizona. Respoodent, Richard Mc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Fred & Christina Goehner Claimant vs . CASE #91-2321 AWARD John G. Kinnard & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 30, 1991, Claimants Fred & Christina Goehner who appeared pro se, alleged that Respondent John G. Kinnard & Co. Inc. recommended an unsuitable invest

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02320 AWARD In the Matter of the Arbitration Between Fred & Christina Goehner Claimant vs. Edward D. Jones & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 3 0, 1991, Claimants, Fred & Christina Goehner, through their representative, alleged that Respondent Edward D. Jones & Co., by and through its Registered

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony C. Hardy 91-02319 Name of Respondents First Eagle, Inc. Joseph Jenkins, Jr. Thomas Peter Sussman Norman E. Phillips Barry W. Former Robert C. Valerius Theodore Giergielewicz Robert B. Whittmore Jon J. Vargo CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04973 Lev Dorfman, Claimant vs. Fidelity Brokerage Services, Inc and Michael Seager, Respondents. ATTORNEYS: Claimant, Lev Dorfrnan, ("Claimant"), appeared Pro Se., Skokie, IL. Respondents Fidelity Brokerage Services, Inc. and Michael Seager, (collectively "Respondents"), appeared David C. Boch, Esq. and Eunice E. Lee, Esq. of the firm Bingham Dana, LLP: Boston, MA. DATE FILED: Nov

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leslie Rosenquist, Claimant v. Miles James Ennis, HI, Peter Kolbjorn Tenfjord, Michael Hans Weston, and Tradeway Securities Group, Inc., Respondents Case Number: 00-00505 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Richard Bryson, Esq. Attorney at Law San Diego, California For Respondents: Scott M. Kolod, Esq. Darlene R. Kowalczyk, E

N.A.S.D. AWARD In the Matter of Arbitration Between Name of Claimant Michael Blueweiss 91-02315 Name of Respondents David Lerner Associates, Inc. Roger Waldeck REPRESENTATION For Claimant Michael Blueweiss (Blueweiss) : Sebastian Ragusa, Esq. and Cynthia McGuire, Esq. of the law firm of Sebastian Ragusa. For Respondents David Lerner Associates, Inc. and Roger Waldeck: Robert J, Hume, III, Esq. of David Lerner Associates, Inc. CAS

1LA.S.D. AWARD Arbitration ® National Association of NRTICNAL ASSOCEATICN OP SHUURiTlfc&i DEALERS Securtttea DMtors, Inc. One East Broward Boulevard in the totter of tb. A^itration Betaken R update, Honda 33301 (305) 522-7391 Name of Claimant(s) Robert T. Sianrell 91-02314 Mama of Reepcndmt(s) Shearscn Lehman Batten, Inc. For Claimant: L. Bruce McDaniel, Esq. of DeBank, McDaniel & Andersen. For Respondent: George C. Covingtcn, Eaq. o

N.A.S.D. AWftKD ASSOCIATION OF In the Matter of the Adsitration Between Name of cna'tra^ts John Vitolo, Frances T. Vitolo and W. Vitolo vs. 91-02313 Name of Charles Schwab & Ccnpany, Inc. For Claimant: John Vitolo, 9331 Holt Road, Harml, California 93923. For Respondent: Richard Dangerfield, Esq., Charles Sctwab & Corpany, Inc., 101 MmtyuLJecy Street, The Schwab Building, San Francisco, California 94104. CftSE Statement of Halm filed

N.A.S.D. AWARD NATIONAL ASSOCIftnON' OF SECURITIES T ffiaTJi!gg In the Matter of the Arbitration Between pf Michelle Haase 91-02312 Of Benefitscorp Equities, Inc. and William Corrln daimantr Michelle Haase was represented by Robert D. Mitchell, Esq. of Galbut & Associates of Phoenix, Arizona. Respondent, William Corrin appeared pro se. Respondent, Benefitsoorp Equities* Inc. was represented by Scott F. Sulley, Esq. of Howard & Gl