N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Thonas Kaufman 90-02597 Name of Respondents J.W. Cant and Associates, Inc. Jonathan White 1 PAR •'••*>* Thomas Kaufman was represented by Sheldon E. Friedman, Esq. of Cortez & Friedman, P.C,, Denver, CO. J.W. Gant & Associates, Inc. and Jonathan White were represented by Dean Aarestad, Esq. and Tamara R. Walters, Esq. of Aarestad & Dihl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Name of Donald E. Rodin, II 90-02596 Name of Myron Brosnahan Invest Financial Corporation For Claimant: Charles Ferguson, Esq. For Respondents: Eugene B. Harper, Esq. Statement of Claim filed: September 17, 1990 Claimant's Submission Agreement signed on: August 23, 1990 Statement of Answer filed by Respondent, Invest Financial Corporation o

N.A.S.D. AWARD ASSOCIATICN OF SBCDRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Donald B. and Kathryn M. Riibin 90-02594 Name of Respondent (a) Smith Barney Harris Upham & Co./ Inc. Jeremiah Burns For Claimants; Cynthia M. Clarke, Esq. of the law firm of Sullivan & Worcester For Respondents; Paul K. Barentoltz, Esq. case Statement of Claim filed; September 14, 1990. Claimants ' Submission Agreements

JVASO N.A.S.D. AWARD Arbitration ^•i^»^™««^^^™^ National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant-. Norman E. Holly vs. 90-02588 Name of ReapoivjgntS Johnston, Lemon & Co., Inc. Nathan K. Yu For Claimant: For Respondents: John P. Connolly,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02581 AWARD In the Matter of the Arbitration Between Ellen Wiseman Claimant vs. Gary Vincent Respondent CASE SUMMARY Pro Se Claimant Ellen Wiseman, in a claim filed with the National Association of Securities Dealers, Inc. on September 14, 1990, alleged that Respondent Gary Vincent, while a broker with Morgan, Olmstead, Kennedy and Gardner in Gresham, OR , made unsuitable

Arbitration N.A.S.D. AWARD * NATIONAL ASSOCIATION OF SECURITIES DEAI£FS National Attodattoa of Stcurttto Deeleft, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Eric R. Levi 90-02577 Paragon Capital Corporation Eugene Dworkis Heard before: Name Iftirray I. Somner Public/Industry Public Arbitrator Claimant r Eric Levi ("Levi"}, was repres

N.A.S.D. IWTRWL ASStTCIffriXJN OF *MIIPMIMMH In the ifat+ffg- of Lewis v. Hodcijgpex and 90-02575 T.I.A^a. -College Itefcirenent Equities Rind. OF EMBCDS Claimant Lewis Rodriquez was represented by David HhcTrln of David & Associates, Inc., Houston, Texas. Respondent T.I.A.A.-College Retirement Equities Bund was represented by Laura Molnar, Esq. of College Retirement Equities Fund, New York, Mew York. case SCMMBHY In a Statement of Claim

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Cannan Family Partnership, (Claimant) vs. D.E. Frey & Company, Inc. and David Bromberg, (Respondents) vs. George Cannan, Sr. (Third-Party Respondent) Case Number: 00-04884 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Canaan Family Partnership, hereinafter referred to as "Claimant": George Cannan, Sr., Partner, Cannan Family Partnership, Lakewood, NJ. Pre

NATIONAL ASSOCIATION OF SEC T JRITIES DEALERS, INC. ~r. zhe Matter of rhe Arbitratien Between lean Witter Reynolds, Inc. Claimant vs . CASE #90-02563 AWARD One Computer Corp. 3111 Norris a/k/a William Owens a/k/a Bill Owens Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 13, 1990, Claimant Dean Witter Reynolds, Inc . through outside counsel Trenton J . H

N.A.S.D. AHRRD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Between Name of CJ David Beckman 90-02556 R.W. Baird & Conpany, Inc. Connie Chumas and John Kanpf David Beckman was represented by Lorrie J. Franson f Esq. of Guelzow, Senteney & Franson, Ltd., Eau Claire, WI. R.W. Baird & Corpany, Inc. r Connie Chumas and John Kerapf was represented by David J. Hase, Esq. of Foley & Lardner, Milwau