N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Gennarelli Case # vs. 91-03843 Name of Respondents Fahnesiock & Co.. Inc. Marc Andor Menton REPRESENTATION For Claimant. Patricia Gennarelli: David Crystal. II from the law firm of Collier Cohen, Shields and Bock. For Respondent. Fahnestock & Co.. Inc. ("Fahnestock"): Charies E. Padgett. Esq., from the firm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Shirlee Pasquariello, Trustee-D. Pasquariello Shirlee Pasquariello, Trustee-V. Pasquariello Shirlee Pasquariello, Trustee-N. Pasquariello NASD Arbitration No. 91-03842 Name of Respondent^ Waddell & Reed, Inc. REPRESENTATION For Claimants: Shirlee Pasquariello, Boise, Idaho For Respondent: Rodney O. McWhinney, Esq., Wa

N.A.S.D. AWWZD ASSOCIATION OF SHCDRITTES DEALERS - In riie Matter of the Arbitration Between Name Of Ranald D. Van 91-03839 Name of Rasponrlfnts Batenan Eichler, Hill Richards, Inc. Reaper Securities Group Daniel P. Litt For Claimant Ronald D. Van ("Claimant") : Antbony Horn, Attorney at Law. For Respondents Bateman Eichler, Hill Richards, Inc. ("Bateman Eichler" or "Bateman 0 ) *"rf Keoper Securities Group ("Kenpear") : A. Brad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER In the tetter of the Arbitration Between Kama o£ Claimant Theodore C. Porter 91-03834 of Jeffrey Heetj First Gateway Securities, Ice. ; Hdue, ft**™? & Jabnson, Inc. , now knaua as Howe BMTHVT Investments, Inc. ; R. Marnttfill Barnes For Claimant: Theodore C. Porter appeared pro se* For Reepondent: First Gateway Securities, me, «s r^resented by Peter O'Kfeal of First Gateway

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRTTIES DEALERS In the Matter of the Arbitration Between T Name of Claimant (s) ) James 0. & Natalie F. Cross ) Nameo^^esgondgat^s^ ) G K Scott & Co. Inc. ) Michael R. Czaja ) Alan F. Pacella ) Arbitration National Aaaoclatlon of Stcurttte* DMtors, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdaie. Florida 33301 {305} 522-7391 Case No. 91-03832 For Claimants, Jamas 0.

PUBLIC NATIONAL ASSOCIATION CF SECURITIES DEALERS, IMC. CASE #91-03829 AWARD in the Matter of the Arbitration Between Adnan Dada Claimant vs . J.W. Gant and Associates, Inc. James Chung Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1991, Claimant Adnan Dada, who appeared Pro Se, alleged that in April 1990, he opened an account with Respondent James Chung

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nasuib Yassa MODIFIED AWARD 91-03820 Name of Respondent Paul Christopher Keiley REPRESENTATION For Claimant Naguib Yassa ("Claimant"): David V. Soeiro. Attorney at Law. For Respondent ("Respondent"): Paul Christopher Keiley: appeared pro se. CASE INFORMATION Statement of Claim filed: December 4. 1991 Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 01-00840 Prudential Securities, Inc. Name of the Respondents Hearing Site: Houston, Texas Rhea Laws and RHL Capital Group Limited Co., L.L.C. REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc., hereinafter referred to as "Claimant": David D. Sterling, Esq. of Baker Botts L.L.P., Houston, Texas. Respondents Rhea Laws ("

N.A.S.D. ASSOdATICN OF SiXUki'i'lKS DEALERS In the Matter of the Arbitration Between of James E. Caouette vs. NASD #91-03814 of Harry R. Burfce For daimant: James E* Caouette For Respondents* Harry R. Burke Statement of ^a-'in filed: r^^tmtt^w 3 1 1591 daimant 's Submission Agreement signed: November 26 r 1991 Statansnt of Answer filed by Respondent: February 10, 1992 Respondent's Submission Agreement signed: February

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03813 AWARD In the Matter of the Arbitration Between Marie H. Miller Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 3, 1991, Claimant Mark H. Miller, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. through