N.A.S.D. AWARD NATICNAIi ASSOCIATION OF {j]j_lim.1'iHS! DEALERS In the Matter of the Arbitration Between Q£ Neil Jafie NASD Arbitration Mb. 91-03500 Hane^ofRespcodents ' David Bemoan Poor Claimant: Randi Gaffner, Esq. - Gaffner & Geffia FOOT Respondent: ^yj*'"*' L. Snail, Esq. Statement of n»H« filed: November 6, 1391 Claimant's Submission Agreanant signed on: October 22, 1591 Joint Statacaant of Answer filed by Reapondaats on: J

N.A.S.D. AWARD ASSOdftTICH OP DEALERS In. t±e Matter of the Arbitration Between Nans of Claimant (a) Alice G. Xerber vs. 91-03424 Name of Resprnripnt (a) Alexander W. Elliott Sunftmerica Securities, Inc. For Claimant: Alice Q. Kerber, G*n Jacinto, For Beqrgidmt Aleoeaoier W. Elliott: Mo appearance by Alexander W. Elliott .For Respondent Suntaerica Securities, Inc: Sharmrn, McDougald, Esq. , Keesad, YOUD? & Tp Hoanh fa! 4 fnrn Sta

Arbitration © N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRTnES DEALERS In the Matter of the Arbitration Between ) David and Shirley Arlen ) Name of Respondent(a) ) ) Balpert, Cberst and Conpany ) ) ) NitionaJ AtMCittlon of S«curitlM 0««l«fs, Inc. Orw East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case Kb. 91-03318 Cl aiimnta, David and Shirley Arlen ("the Arlens"): pro se. Fo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant H. William Hofmann 91-03252 of Respondents Shearson Lehman Brothers, Inc. PaineWebber, Inc. Henry J. Faragalli, Jr. REPRESENTATION Claimant H. William Hofmann ("Claimant) was represented by J. Grant McCabe and Michael Slotznik, Esq. of Rawle & Henderson. For Respondent PaineWebber, Inc. ("PaineWebber"): John Linsenmeyer

N.A.S.D. AWRRD NATICHAL ASSOdATICN OF SEEDRITESS DEALERS In the Matter of the Arbitration Between Q£ David Fadell vs. 91-03234 Nj|neofRespQndent(s) Cruttenden & Company, Inc. Frederick Lacy For Claimant: Mitchell C. Green, Esq., Los Angeles, California For Respondent Cruttenden & Company, Inc.: John R. Loftus, Esq., Xeesal, Young & Logan, Long Beach, California Respondent Frederick Lacy: Frederick Lacy, Newport Beach, California CRSE

N.A.S.D. AWARD NATIONAL ASSCCZAIICN OF SECURITIES DEALERS In t±ie Matter of the Arbitration Between of David Chow va. 91-03178 Brothers, Gunter Kaisezauer For Claimant: Mitchell C. Green, Esq. , lea Angeles, Calif For Respondents* Jin E. DeSantis, Esq. , Xeesal, Young 6 Logan, Long Beach, California Statement of r*t^ filed: October 10, 1591 Claimant's Submission Agreement signed out Septeober 9, 1991 Joint Statement of Answer filed b

N.A.S.D. AWARD NATICNAL ASSOCIHTCN OP SECDRITIES DEALERS la t±a Matter of the Arbitration Between Of Robert L. Moisoff Sylviann L. Molsoff vs. NASD #91-03118 t^3tm» of p«Mfl » • i/^apfrq jjkidix is. Idcfciss, Danville Financial Group, Inc., GrotDf Inc. , Linsco/Private Ledger Corp., Financial Network Investment Corp. For daiaants: Darryl P. Rains, Esq., a-nd William N. Gerscn, Esq., M & For Raspondaata: pvfrrin E. T f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Horace E. Walsh Case No. 99-02977 Names of Respondents Joseph Humberto Castro The Golden Lender Financial Group, Inc. Lee Matthew Solomon, Jr. Roman Sakharovich Kenneth Robert Lauher Konstantin Tokar REPRESENTATION OF PARTIES For Horace E. Walsh ("Walsh"), hereinafter referred to as "Claimant": Joseph Bilotta, Esq., Vassallo andBiiot

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant (g) Barbara R. Caddoo William L. Caddoo vs. 91-02890 of SeaoondBnt (a) Prudential Securities, Inc. Anthony Galante Allan Duncan For Claimants: Dominic P. Gentile, Esq., Gentile, Porter It Kelesis, Las Vegas, For Reapon'denta Prudential Securities, Inc. and Allen Duncan: Michael M. Gleas, Esq., Keeaal, Young & Logan, Long Bea

N.A.S.D. AWARD NKTICKRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of C3?]*"*"t(a) Jo Anne Yananoto vs. 91-02781 Name of Respondent (3) Arthur AldexDan For Claimant: H Tbanas Fehn, Esq., Fields, Febn & Sherwin, Los Angeles* California For Respondent: Arthur Nakazato, Esq., Klrcher & Nakazato, Newport Peach, California Stateaent of Hnlm filed: Septeober 5, 1991 Claimant's Submission Agreement sign