Arbitration •» N.A.S.U. AWAK1J Nation*. Association of Securities Dealers, Inc. NATICNAL ASSOCTMTCN OP SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 1 Q004 FAX (212) 858-4389 Name of Claimants Vladimir and Lyudmila Neydlin 91-02657 Mama of Respondents TSW Securities, Inc. Michael A. Wier Robert Gates Tnaddeus A. Wier, Jr.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02656 ANBRD In the Matter of the Arbitration Between Alice & Vernon Holmes Claimants vs." --_ Shearson Lehman Brothers, Inc. T. Sidney Threet Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 27, 1991, Claimants Alice & Vernon Holmes, who appeared Pro Se, alleged that Respondents Shearson Lehman Bro

N.A.S.D. AWARD ASSOCIATION 1 OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National AaaocJation of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Leonard H. & Geraldine £. Taylor tfame of Case No, 91-02648 ?h ftaT 'qcn Trfafongjyi Button, Inc. James C. Khauff For Claimants, Lecoard M. and Geraldioe E. Taylor ("Taylors")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the .Arbitration Between Name of Claimants Michael & Rebecca Donaldson Case No. 91-02646 Name of Respondents William D. Tharp Investment Management & Research, Inc. REPRESENTATION For Claimants, Michael and Rebecca Donaldson ("the Donaldsons"): Robert M. Roth of Investors Arbitration Services, Inc. For Respondent, William D. Tharp ("Tharp"): David A. Townsend, Esq

N.A.S.D. AWARD OP In tbe Matter of the Arbitration Between William C. Godfrey 91-02643 Of Roctey Mountain Securities & Investments, Inc. aad George R. Beall, Jr. OP EH dainant *was ' *^ n •fcgg^tod lay na»«H^i Wakaf Escr* of Respondent Rocfcy Mountain Securities and Investauents, Inc. waa represented by Jeffrey J* Soott, Esq. of Krys, Boyle, Golz, Raich & PnjMlnnn, Denver, Oolorado* Reepcodent George R. Beall, Jr. appeared pr

NJLS.D. AWARD ASSOCIKnCN OF ijm_i.mi'i'nag DEALERS In the Matter of the Arbitration. Between Name of Sergio Mairon vs. 91-02637 Name of First Choice Securities Jay FerLiikizi Xcel Securities For rriai-am***-. Richard Sacks, Investors Recovery Service For Respondents: Ho Appearance by Statement of ma*™ filed: August 26, 1991 Claimant's Submission. Agreeomt g^grMy^ on: August 14, 1991 Respondents < jjfl not fil'B Statomts of Answer

Award NASD Dispute Resolution, Inc. In the Matter of the Consolidated Case entitled "McLintock Consolidated Case" Consolidated Case Number: 00-04931 William N. McLintock and William N. McLintock, IRA v. Barren Chase Securities, Inc., etaL 00-04931 Kenneth R. Neel and Kenneth R. Neel Revocable Trust v. Barren Chase Securities, Inc., et al. 00-05288 Case Number: 00-04931 Hearing Site: San Diego, California William N, McLintock and William N. McLintock

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between LeRoy E. Kennel Claimant CASE #91-02625 AWARD vs. Jay Fertman Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1991, Claimant LeRoy E. Kennel who appeared Pro Se, alleged that in 1988 Respondent Jay Fertman of Xcell Securities, Inc. heavily solicited him to pur

N.A.S.D. AWARD NATICNAL ASSOCIATION OF jjtf_T*u L'l'UJS DEALERS In the Matter of the Arbitration Between T ) Ifamo of daimant (s) ) ™——™~"^™""• ) Al DuPre ) ) ) Case No. 91-02621 ) Name of Regrxnftmt (s) ) aSHH __ = E= S =j 11 i } Merrill Lynch Pierce Ffexuer & Snith, Inc ) Michael Lcog ) Foo: Claimant, Al DuPre ("DuPre"): M. Baron Stantcn, Esq. and George Hunter McMaster, Esq. of Tcnpkins and

N.A.S.D. AWARD NftXICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwom. of Doris Tof el 91-02620 Mama of Respgnrimt (s) Allan E. Rosen " ^ For Claimant: Doris Tbfel appeared pro se. For Respondent: Allan E* Rosen was represented by Robert C. Hactett, Esq. and John J. Nicgorski, Esq. of Mabr, Hackett, Pedexson, Blakley, Randolph & Haga, P.C., located in Haoenix, Arizona. Statement of na-hn filed: August 23, 19