N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Zilenziger Case# vs. 93-05351 Name of Respondent Commonwealth Associates For Claimant, David Zilenziger ("Claimant"), David E. Robbins, Esq., from the law firm of Kaufman Feiner Yamin Gildin & Robbins, located in New York, New York. For Respondent, Commonwealth Associates ("Respondent"), David S. Richan, Esq., from the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David B. Kesler Individually and Law Offices of David B. Kesler, P.A. 93-05349 Name of Respondents Chatfield Dean & Co. Corporate Securities Group, Inc. Samuel Crockett • REPRESENTATION For Claimant, David B. Kesler Individually and Law Offices of David B. Kesler, P.A. ("Kesler"): Allan J. Fedor, Esq. and Franell F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David L. Lull and Susan M. Lull 93-05347 Name of Respondents J.W. Bullard & Company Steven Ropas CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1993, Claimants David L. and Susan M. Lull, who appeared Pro Se, alleged that Respondent J.W. Bullard, through its broker S

N.A.S.D. AWARD „•; " i < {*- NATIONAL ASSOCIATION OF SECURITIES DEALERS . ' In the Matter of the Arbitration Between Name of claimants Clarence J. & Anne C. Venne Clarence J. Venne Children's Trust Richard A. & Johnette Venne Johnette Venne c/f Richard Venne, Jr. Johnette Venne c/f John Venne Johnette Venne c/f Jillian Venne Clarence J. Venne Profit Sharing Trust Clifford Trust, Richard A. & Anne C. Venne, Custodians f/b/o John Ve

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration -Between Name of Claimants George and Maureen Rotella 93-02216 Name of Respondents The Randall-George Corp. George Z. Skrabonja Mark G. Skrabonja For Claimants, George and Maureen Rotella ("Claimants") appeared Richard W. Vallario, Esq. located in Nutley, New Jersey. For Respondent, George Z. Skrabonja appeared Robert I. Rabinowitz, Esq. locate

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Shoneen Santesson and 93-02214 Name of Respondent Invesco Funds Group, Inc. David Hawk William Keithler REPRESENTATION OF PARTIES^ Shoneen Santesson ("Claimant") was represented by Irving Pfeffer, Esq., San Francisco, CA. Invesco Funds Group, Inc. ("Respondent Invesco") was represented by Glenn A. Payne, Invesco Funds

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf s) Prudential Securities Inc. 93-02206 of JRespondentfs't Golden Capital Management, Inc. REPRESENTATION For Claimant Prudential Securities, Inc.: David W. Schmidt, Esq., and David Simon, Esq. of the law firm of David W. Schmidt, New York City, NY. The Respondent did not attend the hearing. CASE INFORMATION Statement o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02878 Arnold Gussoff, claimant vs. Quick & Reilly, respondent. ATTORNEYS: Claimant appeared Pro Se, White Plains, NY. For Respondent, Samantha E. Kefford, Esq., in-house counsel, New York, NY. DATE FILED: May 31, 2001 CASE SUMMARY: Claimant alleged that respondent charged an excessively high execution price for his Delta bond purchase. Claim Data Award Data Claim: $1,537.50

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Francis W. Winn and 93-02205 Name qf Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Charles D. Kirkham, Jr. REPRESENTATION OF PARTIES Francis W. Winn ("Claimant") was represented by Charles Michael Gray, Esq., Gray & Thomas, Dallas, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Charles D. Kirkham, Jr. ("

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Guillermo Perales and 93-02199 Name of Respondents Prudential Securities, Inc. and Henry Karnes PAttTTFS Guillermo Perales ("Claimant") appeared pro se. Prudential Securities, Inc. ("Prudential") and Henry Karnes ("Karnes")(coHectively as "Respondents") were represented by Donald R. Littlefield, Esq., Prudential Securitie