Stipulated Award NASD In the Matter ot the Arbitration between: Name of the Claimant Case Number: 01-01820 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Robert Colson REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("Raymond James"), hereinafter referred to as "Claimant": Christopher G. Lazarini, Tate, Lazarini & Beall, PLC, Memphis, TN. For Robert Colson ("Colson"), hereinafter referred

Arbitration N.A.S.D. AWARD National Associatkm of Securities Dealers, tnc. NATIONAL ASSOCIATICK OF SHUURlTlfaS DBiLERS NASD Financial Center 33 Whitehall Street in tb. Witter of the Arbitration Betw^i jlantm g£ CTLaiffBfrri^ H» Breen Case* 91-01245 Dean Witter Reynolds Inc. Gruntal & Co., inc. For Claimant Suzanne H. Breen ("Breen"), Andrew S. Sidnan, Esq. of the law fizm of Butler, Fitzgerald & Potter, P.C. For Respondent Dean W

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01242 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Richard Angelini Respondent CASE SUMMARY Dean Witter Reynolds, Inc. by their counsel Dominick J. Dorata, Esq., in a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1991, alleged that Respondent Richard Angelini has failed to satisfy a debit balance in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimantfs^ ) John W. Gidley ) ) of Case No. 91-01236 Smith Barney Harris Upham & Co. , Inc. Bernard Gonsher For Claimant, John W. Gidley ("Gidley"): William P. Doyle, Esq. For Respondents, Stoith Barney Harris Upham & Co., Inc. ("SBHU") and Bernard Gonsher ("Gonsher"): Scott E. Kresch, Esq. of SBHU. Statement of Claim filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Andrea J. Haller Claimant vs. Has an-Growney, Co. Otra Clearing, Inc. John Whitesides Respondents CASE #91-01234 AWARD CASE SUMMARY Pro Se Claimant, Andrea J. Haller (now Spiller), in a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1991, states that her broker at Hasan-Growney Co., Lynne Cintron, info

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carla M. Givens vs. Gregory R. Anderson Respondent SUMMARY Claimant CASE #91-01233 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1991, Claimant Carla M. Givens who appeared pro se, alleged that Respondent Gregory R. Anderson of IRI Securities Corp. purchased stock in Acquisitor Mines without her

HJLS-D- JMBD ® NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Jorge Rivera and ragman Belen Colon Diaz Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Name of Shearson T^hman Brothers, Inc f/k/a et al Glenn Bropkin Robert F. Jerome Ruben Foamier §91-01226 For

PUBLIC Arbitration N.A.S.D. AWARD National Awoc^tton of Securities Dealers, Inc. NATIONAL ASSOCIATION OP SECTkiTli* DEALERS _ __ __ New York, N.Y. 10004 la the Matter of the Arbitration Between FAX (212)858-4389 Murray Dulberg 91-01220 Q£ R.H. Damon & Co. David Davidson Claimant Worray Dulberg ("Claimant") was represented by Lowell B. Davis, Esq. of the law offices of Sbeehy & Friedler. Respondent R. H. namm & Co. ("Damon") was r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01211 AHARD In the Matter of the Arbitration Between Vernon James Kordahl Claimant vs. . ._ - - -v Bateman Eichler, Hill Richards, Inc. * Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1991, Claimant Vernon James Kordahl who appeared Pro Se, alleged that Respondent Bateman Eichler, Hill Richards,

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number : 01-01819 Franklin Ross, Inc. Names of the Respondents Hearing Site: Boca Raton, FL. Terra Nova Trading, L.L.C. Southwest Securities, Inc. REPRESENTATION OF PARTIES For Franklin Ross, Inc., hereinafter referred to as "Claimant": Delmer C. Gowing, HI, P.A., Delray Beach, FL. For Respondent Terra Nova Trading, L.L.C, hereinafter referred to as "Terra Nova"