AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Stephens Inc. and 00-04848 Dallas, Texas Name of Respondent Keith Martel Russell REPRESENTATION OF PARTIES Stephens, Inc. ("Claimant") was represented by Jana Kim Keller, Esq., inside counsel of Stephens, Inc., Little Rock, AR. Keith Martel Russell ("Respondent") was represented by Michael Johns, Esq., Dover & Dixon, Little Rock, AR, CAS

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCORTITES DEALERS ) In the Matter of the Arbitration Between ) ) of Kathie Kovall Mama of Respcndfint (s) Advsst, Inc. Bruce Goldstein Dennis Befuno Miles Levites Case No. 90-02331 For Claimant, Kathie Kovall ("Kovall"): Russell L. Forkey, Esq. of the Law Offices of Russell Forfcey. For Respondent, Advest, Inc. ("Advest"), Miles Levites ("Levites") and Bruce Goldstein ("Goldstein")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Gary Kovach vs. Roney & Co. Claimant CASE# 90-02329 Heard before: Donald A. Antrim, Esq. Industry Arbitrator James A. Francis, Esq. Industry Arbitrator Robert A. Greenberg Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 23, 1990 Claimant Gary Kovach alleged the Respondent

H.A.S.D. _ ASSOdKITCN CP In the Matter or the Arbitration Between of Jobn and Lynn. Csland 90-02328 Of Vtedbush Morgan Securities, IDC. Karen Qiing-Garter Robert Taster For claimants John arvi Lynn naiamHt Gene R. Tlruntcn, 3aq. of Hopper, KhnmTff f .^Mtb, Fecyan & Terry, Denver, Colorado. Ptar KflfipcDdaats Wadbush M 1 .. c^n Securities, Inc., Karen ding-carter, and Robert Ttaaker: Terry Ross, Esq. of Koeoal, Young &

In the Matter of the Arbitration Between of Claimant MAR 9 c Shea HuttCQf Inc. 90-02324 Phillips V. ilidated with In the Matter of the Arbitration Between time o 90-02324 Daniel Phillips Hattoa, IDC. Poor daimant Jeny 90-02324 Hut ton. Inc. and Third-Party Respondent Daniel , Esq. of Neal Gerber & I FOr ^^tf^^^^rlrnt/fV^Tntp^^^a^^»"*- arin Tliird- Party Claimant Daniel Phillips: Denis Grande, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George E. Spencer, Jr. 90-02323 of Resondents Financial Clearing & Services, Inc. Maurice Joseph Lyons For Claimant: Clinton R. Black, IV, Esq. of the law firm of Jtoore, Libowitz & Thonas. For Respondents: Financial Clearing & Services, Inc. was represented by David A, Goldman Esq. of the law Firm of Wexler & Burkhart,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. I."; the Matter "of the Arbitration Between Pierce E. Parker Claimant vs . Dean witter Reynolds, Inc. and Joseph Nelson Respondents Case #90-02322 AWARD CASE SUMMARY Pierce E, Parker, in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990, alleged that Respondent Joseph H. Nelson, a broker with Dean Witter Reynolds, Inc., churned his account t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Q£ RI anlr*inyahH p 90-02320 Name of Respondent Brad Katz Claimant appeared pro se. Respondent did not appear. CASE Statement of n^m filed: August 21, 1990. Amended Statement of Ha-im filed July 16, 1991. Claimant's Submission Agreement signed on July 11, 1990. Respondent did not answer or file a Submission Agreement. hearing

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patrick 0. Cronan 90-02318 Name of Respondents L. F. Thompson & Co., Timothy Robinson, and Thrifty Tel, Inc. REPRESENTATION OP PARTIES For Claimants at the hearing: Pro Se. For Respondents at the hearing: no respondents appeared. CASE INFORMATION Statement of Claim filed: August 20, 1990. Claimants' Submission A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Pase Numhpr- 00-04847 First Union Securities, Inc. Name?; of the. George Cannan, Sr., Hector J. Garcia, Baldridge Venture, Inc., Harris Dempsey BalLow, and Texas Investment Corporation Hearing Site: Washington, D.C. PF.PpflSy 1 fSTf^TTON OF Claimant, First Union Securities, Inc. ("First Union"), hereinafter collectively referred