Arbitration N.A.S.D. AWARD vy NATIONAL ASSOCIATION OF SBUUKiTiKS DEALER In the Matter of the Arbitration Between HEffng. pf rna-i-rnarifc Blosscm Wlttlin vs. Name of Peter Bruno Wall Street Money Center Corporation Street Honey Managenent Group National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 92-00516 For Claimant, Blo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PUBLIC Peter B. Fay Claimant CASE #91-03112 va. Hambrecht & Quist, Inc. William L. Hiss Respondents AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1991, Claimant, Peter B. Fay by and through his counsel, Richard B. Dannenberg, Esq. of Lowey Dannenberg Bemporad & Selinger, P. C.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-031X1 AKAKD In the Matter of the Arbitration Between Angelo Colavita, Trustee Claimant vs. Drake Capital Securities, Inc. Charles Pascal Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1991, Claimant, Angelo Colavita, TTEE, who appeared Pro Se, alleged that Respondents, Charles Pascal and Drake Ca

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DElffiERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Jfetter of the Arbitration Between Name of Claimant Kay Willene Smith Blums 91-03106 Name of Respondents Shearson Lehman Brothers, Inc. Steve Harvey For Claimant: Elizabeth S. York, Esq. For Respondent Snearson Lehman B

W.A,S*D. AHARD ® ASSOCIKnCN OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (a) David & Juana Fonieonan Gabriel C, Pcnieman »"rf Roberto Ponieman Name of Reapcndentte) Pruflpnt,1al-Bache Securities Inc. Arbitration National AaaocJatfon of Securities Dealer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Flonda 33301 (305) 522-7391 Case No. 91-03105 For Claimant, David & Jti

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between W. Howard Goggans Claimant vs. CASE #91-03100 AWARD Morgan Keegan & Company, Inc. A. Daniel Barnett Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1991, Claimant, W. Howard Goggans, who appeared Pro Se, alleged that on June 16, 1989 Respondents Morgan Keegan & Company,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward M. Nagle and Antoinette Nagle, (Claimants) vs. Peter J. DiGangi, (Respondent) Case Number: 01-01870 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Edward M. Nagle ("E. Nagle") and Antoinette Nagle ("A. Nagle"), hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, Peter J. DiGangi, hereinafter referred to as "Respondent

N.A.S.D. AWARD NKEXCNAL ASSOCIATICN OF SKUUR1TIES DEALERS George S. Fowler, Jr. 91-03095 Q£ A.G. Edwards & Sons, Inc. Jbha Sink C!barles J. Foo: Claimant: George S. Fowler, Jr. ves represented by Robert L. Striler, Esq. of King, Roster & Murpby located in St. Louis, Missouri. For Respondents: A.G. Howards & Sons, Inc. and Charles J. Galli wave represented by day L. Grumtee, Esq. of A.G. Edwards & Sons, Inc. located in St. Louis, Missouri

VJUS.D. NKTICKAL ASSUL'iAl'Ull OP fltfTIUITIBS EERISIS la ttaa Hatter o£ the MfaLtratioQ Mama n- & lAicile "Dales 91-03093 of Dean Witter Raynolds, Mai For daifflntss Kavia D. BDfnan, S*j. , Attomey At LBW, Miimfisota. For Reepcociaitas p4^>uiT^ &. Sogoff, Eaj. of Dean Witter Raynolds, Tnc,, San Statanaot of Claim filed: October 2 V dadaants's Sufctdflaian, AgEMmnt algned ens Septeitoer 27,1991. Joint StattBMflt of Tinaiiiai

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between David Kazzaz, MD. Claimant vs. Prudential-Bache Securities Inc.,and Lawrence Jones Respondents CASE #91-03086 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 2, 1991, Claimant David Kazzaz, Md. who appeared Pro Se , alleged that Respondents Prudential-Bache Securities, Inc.