Arbitration __ NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (3) ===== Marc Lee Lopata Name of Respondent (a) ai=SB= ^ =====±==as G K Scott & Go. Inc. Jeffrey Applebaum National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 {305) 522 ' 7391 Case Ho. 91-03062 For Claimant, Marc Lee Lop

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between pf Prakash C. Varshney Saxal Varshney Prakash C. Varshney, Custodian - Anshul Varsbney vs. 91-03057 Name of Respf^^g^t (s) Network Qoe Financial Securities, Inc. William Hunt Harold Smith For Claimants: Prakash C. Varshney, Fcruntain Valley, California For Respondents Network One Financial Securities, Inc. and William Hunt: John B.M. Frohlin

PUBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03055 AWARD In the Matter of the Arbitration Between Metro T. Butner Claimant vs. Anthony Crupi Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 1, 1991, Claimant, Metro T. Butner who appeared Pro Se, alleged that in January 19 89 Respondent Anthony Crupi, Financial Consultant with Shearson Lehman Hutton hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. t In the Matter of the Arbitration Between Trena P. Hunt Jackie Porter JTTEN vs. PUBLIC Claimants CASE #91-03054 AMARD Wachovia Brokerage Service Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 1, 1991, Claimants Trena P. Hunt and Jackie Porter, who appeared Pro Se, alleged that Respondent Wachovia Brokerage Serv

N.A.S.D. AWARD NATIONAL Associaiicw OF SECURITIES DEALERS In tbe t-feitter or the ftdaitration Between of Rolf Olson, Individually anri as Trustee ***** Beneficiary of Rolf Olson, P.C. Pension and Profit Sharing Trusts vs. NASD #91-03048 Sh Carl Martens Brothers, Inc. For Claimant: Fredrick D. i f Seattle, , Esq., f Fettennan, Martin, Ttodd & For Respcodents: Jerry B. Bbdson, Esq., Miller. Hash, Wiener

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name r>f the Claimants Gerald and Phillis Chazan Name of the Respondents Robert B. Fitzparrick, Gerald F. O'Neill, and First Union Securities, Inc. Case Number: 01-01866 Hearing Site! Philadelphia, Pennsylvania RF.PRRSF.NTATION OF PARTIES Claimants Gerald and Phillis Chazan, hereinafter collectively referred to as "Claimants", were represented by Nicholas J. Guii

N.A.S.D. NATICNAL ASSOCTATICN OF SBCDEITIES Tn i-hA Matfcgr of Hua a-rM j-rafclCB Be pf DuWayne Mooers & Elsie Mooers 91-03041 Name of Respondents Off HI nidi! & Company TWIann For Claimants: Mazk Briol, Esq. anri Gregory Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent Offernan fie Conpany: Terrence J. Fleming, Esq. of Undquist & VeoEXum, Minneapolis, M**maanfa and Ann Exline Starr, Esq. of Offerman & f Minneap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In ~r.e Manner of the Arbitration Between Peter and Antanina Gencarelli Claimants vs . Shearson Lehman Brothers Respondent: CASE SUMMARY CASE #91-03037 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on September 30, 1991, Claimants, Peter and Ant'anina Gencarelli, who appeared Pro 3e, alleged that on August 14, 1986 they contacted Respondent, Shear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Tii uic Matter of the Arbitration Between Name of Claimant Steven Pean>0" Case# vs. 91-03030 Name of Respondents Merrill Lynch Pierce Fanner & Smith Inc Robyn L. Armstrong Russ Mann REPRESENTATION For Claimant, David H. Jarvis, Esq. of Alan R. Miller, P.C. Anthony V. Trogan, Esq. of Weisman, Trogan, Young and Schloss. For Respondents, Merrill Lynch, Pierce, Fenner and Smit

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03025 AWARD In the Matter of the Arbitration Between Edward L. Echnoz Claimant vs. Stratton Oakmont, Inc. H. Scott Gelfand Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1991, Claimant, Edward L. Echnoz by and through his counsel, Dom W. Greco, Esq. of Greco & Lander, Clarion, Pennsylvania, al