NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: Peter S. Rosenberg vs. Name of Respondent Shearson Lehman Hutton, Inc. Smith Barney Harris Upham & Co. , Inc. Jeremiah J. Regan Arbitration National Association of Saeurities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 91-00998 For Claimant: leuan

N.A.S.D. AWARD NATICURL ASsociftncN OF SECDRTTIES DEALERS In the Matter of the Arbitration Between »< TH am E. Reisinger, Jr. 91-00995 Name QfResPondentte) Tucker Anthony Incorporated John. Peter Cfariatus Robin Oliver For Claimant: Bterd J. Kabala, Esq. For Respondent: Paul A. Liebenaon, Esq. of Tucker Anthony Incorporated. Statement of Oa1m filed: April 2, 1991* Claimant's Submission Agreement signed on: March 25, 1991 Joint Sta

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. .CASE:01-01797 Charles Schwab & Co., Inc., claimant vs. Joseph John Lombard!, respondent. ATTORNEYS: For Claimant appeared Edmund V, Saucedo, Collections Case Manager, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged that respondent failed to pay an unsecured debit balance caused by a stop transfer cr

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Westwind Productions, Inc., Claimant v. Joseph Gunnar & Co., Respondent Case Number: 00-00763 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Westwind Productions, Inc.: William C. Webb Westwind Productions, Inc. Marina Del Rey, California For Respondent Joseph Gunnar & Co.: Gregg R. Evangelist, Esq. Joseph Gunnar & Co. New York, New Yo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between George and Charlotte Dean Claimants • vs. . \ CASE $91-00992 AWARD Orlando Rodriguez McLaughlin, Piven, Vogel Securities, Inc Respondents CASE SUMMARY Pro Se Claimants, George & Charlotte Dean, in a claim with the National Association of Securities Dealers, Inc. on April 1, 1991, alleged that Respondent Orlando Rodriguez executed an unauthor

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sydney Huber Claimant AWARD vs. Bear Stearns & Co., Inc. Mark McHugh Respondents Case #91-00988 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on .April l, 1991, Claimant, Sydney Huber who appeared pro se, alleged that Respondent Bear Stearns & Co., Inc. and Mark McHugh withheld pertinent information

PUBLIC Arbitration N.A.S.D. AWARD NKTXCNRL ASSOdftTICN OP £SiUJiUT.lES DEMURS In the Ifatter of the Arbitration Between Name of Claimants Adler Lee industries Inc. Daniel Lee Apparel Inc. Qualified Retire Daniel Lee industries Inc. Special Accou Daniel Adler C/F Evan Matthew Adler vs. Mane of Reaocpdenta PalaeHefcfcer, Inc. Barry Fishkioi National Astocttton of Securities Oeaton, Inc. NASD Financial Center 33 Whit

N.A.S.D. ASSOCIAHCN 0? SECDRITIES TTRRTiRRfl Ponnld W. Godfrey, individually atvj as Irustee of the Rrnald W. Godfrey Trust: 91-00985 o£ Merrill Lynch, Fierce, Fenner & Snith Inc., Cgpenheiaer & Co., Inc., and William J. Mnqphy For Oainant: Paul Harvey, Esq. of Bell & McGurk, Ltd., Chicago, Illinois Respondent William J. 2tarpby appeared pro se for the ^^••^^ >^i< ^ OQ Octdber 5, 1392. RaspCDdeat William J. Mxcpfay m3"Seen represented by

N.A. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitrat Name of Claimant Blanche Hightower Name of Respondents Otra Clearing, Inc. Madison Chapin Associate, Whitemark Corporation Peter Panariello Mintiy Gesser Steve Bernstein REPR Respondent Otra Clearing, Inc Monson, Esq. in-house counsel Respondent Peter Panariello Respondent Mindy Gesser {"Ge DiBartolo, Esq. of the law DiBartolo. White

N.A.S.D. ANAHD NATIONAL ASSOCTATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between gf Craig H. & Mary F. MnOarmell 91-00980 Name of Respondents Merrill Lynch Pierce Farmer & Smith Inc Kitridge A. Buritsch For Claimants; Charles P. Piven, Esq. For Respondent: Jeffrey P. Bloom, Esq. of the law firm of Mstzger, Gordon, Scully & Mortimer CASE Statement of Claim filed: March 27, 1991. Claimants' Submission Agreements s