N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary T. Zummo Valerie J. Fernandez 92-02950 NameofResTOndents A.J. Brent FSC Investment Planning, Inc. Keogler Morgan & Co. Claimants Mary T. Zummo ("Zummo") and Valerie J. Fernandez ("Fernandez") were represented by Alan J. Fedor, Esq. of Fedor & Fedor, Lugo, FL. Respondent A.J. Brent ("Brent") was pro se. Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In A Consolidated Matter of the Arbitration Between ^NajnecrfjCIaijnant Bobby W. Harrelson #92-03104 AWARD Name of Respondents Consolidated with #92-03107 Award J.C. Bradford & Co. B. Rex Stephens v. Michael Masters J.C. Bradford & Co., and Michael Masters CASE SUMMARY In claims filed with the National Association of Securities Dealers, Inc. on September IS, 1992, by Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In A Consolidated Matter of the Arbitration Between Name of Claimant Bobby W. Harrelson #92-03104 AWARD Name of Respondents Consolidated with #92-03107 Award J.C. Bradford & Co. B. Rex Stephens v. Michael Masters J.C. Bradford & Co., and Michael Masters CASE SUMMARY In claims filed with the National Association of Securities Dealers, Inc. on September IS, 1992, by Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sarah E. Schild DonaJd E. Robinson and Rebecca Robinson 92-03061 Name of Respondents Shearson Lehman Brothers, Inc. Keith B. Carlyon REPRESENTATION For Claimants Sarah E. Schild and Donald E. Robinson and Rebecca Robinson ("Claimants"): Anthony V. Trogan, Esq. of the law firm of Weisman, Trogan, Young & Schloss, P.C. o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph L. Longhito (Claimant) vs. EBI Securities Corp., Global Capital Securities Corporation and Omar A. Baksh (Respondents) Case Number: 01-02452 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Joseph L. Longhito hereinafter referred to as "Claimant": Brian H. Reis, Esq., Brian Reis & Associates, New York, NY. Respondents EBI Securities Corp. ("EBI"), Globa

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony Benjamin Aldorasi 92-03054 Name of Respondents A.F. Green & Company. Inc. Norman Wenheimer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 11,1992, Claimant Anthony Benjamin Aldorasi. who appeared Pro Se, alleged that he purchased a registered bond for

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Marny Glasser and Harold Glasser 92-03053 Name o( Respondents Kidder, Peabody & Co., Incorporated Sam Luby, m For Claimants, Marny and Harold Glasser ("the Glassers"): Russell L. Forkey, Esq. For Respondents, Kidder Peabody & Co., Incorporated ("Kidder") and Sam Luby, m ("Luby"): Thomas A. Dubbs, Esq. of Kidder. CASE I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 7:77 In the Matter of the Arbitration Between vUL Name of Claimants _ •. A. Gilbert and Ellen G. Turner —-—•• 92-03052 Name of Respondents Prudential Securities, Inc. George Alexander REPRESENTATION For Claimant, A. Gilbert and Ellen G. Turner ("the Turners"): pro se. For Respondents, Prudential Securities, Inc. ("Prudential*) and George Alexander ("Alexander"): V. Michael

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Timothy and Penelope Kopp 92-03048 Name of Respondent First American Biltmore Securities. Inc. REPRESENTATION Claimants. Timothy and Penelope Kopp were represented by Michael Salcido. Esq.. Scottsdale. Arizona. Respondent. First American Biltmore Securities. Inc. was represented by Gordon Nevers. CASE INFORMATION The

N.A.S.D. AWARD NATIONAL ASSOCIATION ()F SECURITIES DEALERS. INC. In the MaKer of the Arbitration Between Annie M. McCants and Annie M. Morrison Claimants CASE #92-03031 AWARD vs. Mutual of Omaha Fund Management Company Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September it). 1^92. Claimants Annie M. McCants and Annie M. Morrison who appeared Pro Se. alleged that on March 23.