N.A.S.D. AHHZD NATIONAL ASSOCIATICN OF SECORTTIES DEALERS In toe Matter of the Arbitration Between. of Claimant Nancy 90-03539 of Securities Inc., now . ., known as Prudential Securities Incorporated? Gerald S. Coihn For Claimant: Irene Nancy Hamilton was represented by H. Victor Thomas, Esq. and William R. Hayes, Esq. of Bennett, Broocks, Baker & Lange, L.L.P., located in Houston, Texas. For Respondents: Prudential-Bnohn Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of David L. Burka, Trustee et al... Robert A. Burka, Trustee et al. . . Fred Burka, Trustee et al... vs. Name of Respondents Prudential Securities Inc David H. Marx Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-03532

N.A.S.D. &9SB NKTiCNftL ASSOCIflTICN OF SECURITIES DEHJERS In the Matter of the Arbitration Between Financial Network Investment Corporation and 90-03526 Jeffrey J. Taylor, Dr. Karl L. Meyer Respondents Claimant Financial Network Investment Corporation appeared and was represented by Jack R. Handy, Esq. of Financial Network Investment Corporation, Torrance, California. Respondent Jeffrey Taylor appeared pro se. Respondent Dr. Karl L. Mayer d

N.A.S.D. AWARD KATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Ijlxm* of C"l*-i™»"t Joseph P. Byrne 90-03525 John T. Moran Peter E. Bulger William E. Wefaner Joseph Fili Gregory Hnshn Claimant Joseph F. Byrne ("Claimant") was represented by Douglas Esq. of the law firm of Capuder & Associates, P.C. Respondents John T. Maran, Peter E. Bulger, William E. Wefaner, Joseph Pili and Gregory ttagh" ap

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECT William Simkins, Individually, Josephine Simkins, Individually, William Simkins, in his capacity as Executor of the Estate of Everett Simkins, Deceased. Claimants, v. Merrill Lynch, Pierce, Fenner fie Smith, Inc. Laurie J. Canaday, Respondents. Consolidated Nos. 90-03517 91-03292 REPRESENTATION OF PARTIES For Claimant: James M. Dezelar, Esq. of Robbins, Salomon & Patt, LTD., Chi

NASO N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DERLERS In the Matter of the Arbitration Between Arbitration National Association of Securities Dealer*, inc. NASD Financial Center 33 WhitenaH Street New YorK. New York 10004 Alan R. Phillipson vs. 90-03513 Financial Clearing & Services Corp. For Claimant: Joel S. Foxman, Esq. of Bondy & Schloss. For Respondent: David A. Goldman, Esq. of Wexier & Burkhart, P.C. State

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03502 AWARD In che Matter of the Arbitration Between Oppenheimer & Co., Inc. Claimant vs. C.J. Wallace Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 13, 1990, through their outside counsel, Wexler & Burkhart, PC, Garden City, NY, Claimant Oppenheimer & Co., Inc. alleged that Respondent C.J. Wallace refused to rep

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03501 In the Matter of the Arbitration Between Oppenhe inter & Co., Inc. Claimant vs. Jay Fincher Respondent CASE SUMMARY Oppenheimer & Co., Inc. by its counsel Mark S. Goldstein, Wexler & Burkhart, Garden City, NY, in a claim filed with the National Association of Securities Dealers, Inc. on December 13, 1990, alleged that Respondent Jay Fincher has failed to satisfy a debit

Arbitration LA.y.U. AWAKL5 National Association of Securities Dealers, Inc. One East Broward Boulevard NATIONAL ASSOCIATION OF SECURITIES DEALERS Suite 1000 Ft. Lauflerdale. Ronda 33301 {305) 522-7391 In the letter of the Arbitration Between) Douglas P. Rosile CPA, Inc. ) ) Case No. 90-03499 Name of Respondent's^ ) j F.H. Wolf 5, Co., Inc. ) ) ) Heard before the arbitrator: Guy E. Burnette, Jr., Esq. Public Claima

• NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-02226 Corporate Securities Group, Inc., claimant vs. Carl Cherchi, respondent. ATTORNEYS: For claimant, Corporate Securities Group, Inc., appeared in-house counsel, Charles E. Scarlett, Esq.. Boca Raton, FL. Respondent Carl Cherchi did not respond to the Statement of Claim. DATE FILED: May 14, 1999 CASE SUMMARY: Claimant alleged respondent is obligated to indemnify claimant f