Award NASD Dispute Resolution In the Matter of the Arbitration Between: "f t hp naimant^) Pflgf N^mhftf • 01-01836 Jann K. Green nf th p FF-pp n n f font(i g ) Hearing ftit ft * Houston, Texas A. G. Edwards & Sons, Inc. Jeffrey Riley O Claimant Jann K. Green hereinafter referred to as "Claimant": Joseph J. Hroch, Esq., Spencer & Associates, P.C., Houston, Texas. Respondents A.G. Edwards & Son,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rajendrakumar Gandhi and Mangala Nadkarini n/k/a Mangala Gandhi and No. 91-01406 - - -JV- Name of Respondents Quick & Reilly, Inc. Donna Crawley REPRESENTATION OP PARTIES For Claimants: Rajendrakumar Gandhi For Respondents: Joseph Corso CASH INFORMATION Statement of Claim filed: on or about May 3, 1991.

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center NASD AWARD 33 Whitehall Street New York. N.Y. 10004 NATIONAL ASSOCIATICN OF SELTJKiTlKS DEALERS FAX (212) 85W389 In the Matter of the Arbitration Between Name of Claimants David *rvi Constance David and Mary 91-01404 Name of Respondents & ^^'h Financial Group, Inc. Donald Zoch Paul Zoch For naimar^ts David aT vi rnnpt-aTif-a H**

1 -4 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Stanley Diamond 91-01402 Name of Respondent(s) Shearson Lehman Brothers, Inc. Andrew Sunkin REPRESENTATION For Claimant Stanley Diamond: Mark F. Heinze, Esq. of Monaghan Rem & ^k Zeller, P.C., Hackensack, New Jersey. For Respondents Shearson Lehman Brothers, Inc. and Andrew Sunkin: Arthur Schupbach of Schu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard Fink ;.- Barney Fink Container Co., Inc. Bernard and Margaret Fink Foundation No. 91-01398 Name of Respondents Dean Witter Reynolds, Inc. Susan McNamara REPRESENTATION OF PARTIES For Claimants: William M. Larson. Jr., Esq., of Kennedy, Holland. DeLacy & Svoboda, Omaha, Nebraska. For Respondents: Michael T.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Dennis and Sheila Diecidue Case No. 91-01397 Name of Respondent(s) Shearson Lehman Hutton, Inc. Larry Sizeler REPRESENTATION For Claimants, Dennis and Sheila Diecidue ("the Diecidues"): Albert M. Salem, Jr. of Albert Salem & Associates, P. A. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Larry Sizeier ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRITTES DEALERS In the Matter of the Arbitration Between of Barbara Gayle Vfetson Scbmitte Frederick A. Schmitte 91-01389 Name of Respondent (3) J.C. Bradford. & Co. Robert J. Tinsley The Rnhi nson-ffmndrrey Ccnpany Inc. For Claimant: Janes R. Gilreath, Esq. of Greenville, South Carolina. For Respondent J.C. Bradford & Co.: Jay S. Bowen, Esq. of Baas, Berry & Sims in Nashville, Tennessee.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS MAY ? $ £92 In the Matter of the Arbitration Between Name of Claimants Bruce A. & Linda 0. Polizocto 91-01386 Name of Respondents Shearson Lehman Hutton, IncT. Robert D. Damigella Lawrence J. Green REPRESENTATION QF PARTIES For Claimants: Mark S. Maddox, Esq. of Coons & Saint, Indianapol is , Indiana . For Respondents: Robert J. Mandel, Esq. of Neal Gerber & Eisenberg, Chi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patric Barry dba Charleston Iron and Steel vs. 91-01385 Name of Resnon Farhad Jamshic Arfa For Claimant: Patric Barry, 19431 Sierra Onila Road f Irvine, CA 92715 For Respondent; No appearance Statement of Claim filed: May 3, 1991 Claimant's Submission Agreement signed on: June 17, 1991 Statement of Answer filed by Respondent on: Non

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vincent McGuire, (Claimant) vs. Joseph Stevens & Company, Inc., (Respondent) Case Number: 01-01834 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Vincent McGuire, hereinafter referred to as "Claimant": Daniel Collins, Esq., Pomerance & Collins, LLP, West Babylon, NY. Respondent, Joseph Stevens & Company, Inc., hereinafter referred to as "Respondent":