N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between pf Claimant Oscar M. Schapiro 91-01692 Jacob Pearce, Jt. For Claimant: The Claimant appeared pro se. For Respondent; The Respondent was represented by John R. Gilner, Esq. CftSB INPCBMKEKK Statansnt of Claim filed: May 31, 1991. Claimant's Submission Agreement signed on: June 14, 1991. Statement of Answer filed by Respondent Jacob Pearce, J

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, J.NC. CASE #91-01691 AWARD _n the Matter of the Arbitration Between Glen and Reola C. Burrough Claimants vs . Pacific Brokerage Services, Inc. Steven Wallace Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1991, Claimant Glen & Reola C. Burrough, who appeared Pro Se, alleged that Respondents Pacific Brokerage

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04951 Peregrine Financials & Securities, Inc. Name of the Respondent Hearing Site: Chicago, Illinois Rooz Abaas Eftekhari REPRESENTATION OF PARTIES Nicholas lavarone, Esq. and Thomas Sarikas, Esq. of the firm Bellows and Bellows located in Chicago represented Peregrine Financials & Securities, Inc. ("Peregrine Financials"). Rebecca Wing

Arbitration M A S n AWARD National Association of W.A.O.W. < nn«Kij Securities Dealers, Inc. ~ NASD Financial Center NATICNftL ASSOCIATION OP SHJLUUTIK3 DEALERS 33 Whitehall Street New York, N.Y, 10004 In the Matter of the Arbitration Between FAX (212) 858-4389 Case # 91-01690 Jesup, Joflepht-hnl & Co., lac. For Clainant: Martin J. Siegel, Esq. For Respondent: Joseph Schmidt. OVSE Statement of Claim filed: May 31, 1991. Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Albert A. Frankel Claimant, vs. CASE #91-01684 AWARD First Choice Securities Corporation; Lori Keating Respondents. CASE SUMMARY Claimant Albert A. Frankel, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on June 3, 1991, alleged that Respondents First Choice Securities Corporation and Lori Keating misrepre

Arbitration N.A.b.U. AWARD © National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street In the Matter of the Arbitration Between New York, N.Y. 10004 FAX (212) 858-4389 Name of Claimants Thelma & Earl Skelton and Mary Fried 91-01678 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Barry Kornfeld John Rachlin Deborah Page For Claimants: Thelma F. Skelton represented the Claimants. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTIRITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marjorie Annis Expense Account, Inc. Alyse O. Rankin Neil J. Arrigale Steve and Barbara Surrey Roger Gordon and Barbara Arrigale NASD Arbitration No. 91-01673 Name of Respondents Prudential Securities, Inc, Grant Ross Michael Zaccaro Jack Graner REPRESENTATION For Claimants: Philip H. Stillman, Esq

N.A.S.D. AWARD NATIONAL ASSOCianCN OF SBOJRITIES DEALERS In the Matter of the Azbitration Between Name Of David DeNarde Ramnna DeNarde NASD Arbitration No. 91-01668 Name of Resprmripnt Sodnan & Reosnaw, Inc. Ross Mandell Scott Lask For Claimants: Michael F. Brown, Esq., Schall, Boudreau & (Sore, Inc., San Diego, California For Respondents: Rcbert P. BxamnUc, Esq., ^^i Charles A. Valente, Esq., Althaimer & Gray, Chicago, Illin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01667 AWARD In the Matter of the Arbitration Between Henry Gaulton and Chariine Gaulton, JTWROS Claimants vs . Merrill Lynch, Pierce, Fenner & Smith, Inc. David Feigelman Respondents CASE SUMMARY Claimants Henry Gaulton and Chariine Gaulton, pro se f in a claim filed with the National Association of Securities Dealers, Inc. on May 30, 1991, alleged that Respondents

N.A.S.D. AWMZD NAUCMAL ASSOCEATICN OF SECDRXTIES DEALER In the Matter of the Arbitration Between of Judy and Mirle Freel, Jr. 91-01659 pf Integrated Financial Services FSC Securities Cozporaticn Richard E. Connolly Marlis Gilbert For Claimants: L1nr1ft Garofola, Esq. of Reynolds, Motl, Sherwood and Wright, Montana. FOOT Respondents Integrated, Financial Services sav^ Richard. E. Connolly: Richard E* Connolly, Jr., Esq. of Des Moi