PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01717 AWARD In the Matter of the Arbitration Between Dwight S. Davis Claimant vs . J.W. Gant & Associates, Inc. Eric Vallejo Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 4, 1991, Claimant, Dwight S. Davis, who appeared Pro Se, alleged that on December 6, 1989 Respondent Eric Vallejo, a registered

N.A.S.D. AWARD NATONAL ASSOdATICH OF SECURITIES DEALHJS In the Matter of tbe Arbitration Between Gba&DOus v. NASD #91-01712 Donaldson, TaiffHn £ For Claimant: flhoiji. Reza Ghampus For Respondent: Tv^gmiAvinj. T JIBUTI & Jenrette, Statement of f^iai-m filed: June 4, 1991 Claimant's guV^iH ag^ryi A^ceeoeat siloed ons May 15, 1991 Statement of Answer filed by Respondent on: August 21, 1991 Respondents Sutndssion Agreement signed on: August 20,

N,A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ann Heath, Peggy L. Schmidt, and Gordon C. Schmidt No. 91-01711 Name of Respondents .-. ^. Richard Stern, Trustee for the Stern Bros. Liquidating Trust, Rodman & Renshaw, Bruce Rosenbaum, Franklin Acquisition Co., and LM Consolidated Financial Corp., f/k/a Stern Bros. & Co. REPRESENTATION OF PARTIES For

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-04954 Janeen Hirson, Claimant vs. Datek Online Brokerage, LLC, Respondent. ATTORNEYS: Claimant Janeen Hirson ("Claimant"), appeared Pro Se, Irvine, CA. For Respondent Datek Online Brokerage, LLC, (Respondent") appeared G. Thomas Fleming III, Esq., of the firm Jones, Bell, Abbott, Fleming, & Fitzgerald, LLP, Los Angeles, CA. DATE FILED: November 8, 2000. " ~ CASE SUMMARY: Claimant al

NATIONAL ASSOCIATION OF SECURITIES DEALERS/ INC. In the Matter of the Arbitration Between Beatrice E. Tillman a/c/f Kevin Tillman Claimant vs. AWARD Shearson Lehman Brothers, Inc. Respondent CASE #91-01706 CASE SUMMARY Beatrice E. Tillman, Pro Se r in a claim filed with the National Association of Securities Dealers, Inc. on June 4, 1991, alleged that Respondent Shearson Lehman Brothers, Inc. turned over the assets of the

PUBLIC NATIONAL ASSOCIATION.OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Verdis Cook Claimant vs. Kober Financial Corp. Dan Ratts Deborah Neuner Respondents AWARD Verdis Cook V3 Kober Financial Corp & Dan Ratts Consolidated with CASE #91-01704 Verdis Cook vs. Financial Corp & Deborah Neuner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. o

N.A.S.D. AWARD NKTICNM. ASSOCTMnCN OF SECDRITIES DEALERS, INC. In the Matter of the Arbitration Between Nane__of_Cla±iBant Donald Tourville 91-01702 Name of Respondents Otra Clearing, Inc. First Fidelity Capital Corporatioa Ted Lawrence Rubin For Clalnant: Brandon L. Martin, Esq. Fbr Respondents; First Fidelity Capital Corporation and Ted Lawrence Rubin did not appear. Otra Clearing, Inc. was represented by Scott G. Monson, Esq.

N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant: Ak-Chin Indian Community No. 91-01700 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Gerald D. Thornton REPRESENTATION OF PARTIES For Claimant: Frank Lewis, Esq. of Begam, Lewis and Marks, P.A. and Burton Bently, Esq., Phoenix, Arizona. For Respondents: Dennis M. Pape r Esq. and V. James Mann. Esq., Merrill Lynch Litigation Department., N

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rockwell R. Carr and Sloan W. Carr JT/WROS Claimants vs. Oppenheimer & Co., Inc. Peter Garrett Respondents CASE #91-01697 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1991, Claimants Rockwell R. Carr and Sloan W. Carr, who appeared Pro Se, alleged that Respondents Oppenheimer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01696 AWARD In the Matter of the Arbitration Between George W,. Bechtold Claimant vs. J.W. Gant and Associates, Inc. Respondent CASE SUMMARY George W. Bechtold, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1991, alleged that Respondent executed an unauthorized sale of 391 shares of J.W. Gant Financial at a loss on the pretext th