PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03771 AWARD In the Matter of the Arbitration Between I. Jack Gural Claimant vs. D.H. Blair & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimant I. Jack Gural who appeared Pro Se, alleged that Respondent D.H. Blair & Co. , Inc. failed to follow his instructions to sell his Trillin

NASD Arbitration No. 91-03767 N.A.S.D. AWARD NATIONAL A^nrffrTION OF SECURITIES DF.AT.F.RS. TNG. In the matter of the Arbitration Between Name of Claimants Steven P. Shearing Name of Respondents Dean Witter Reynolds, Inc. Victor C. Egner REPRESENTATION For Claimant: Harry L. Carman, Esq. - Carman & Amdur - Rutherford, New Jersey For Respondents, Dean Witter Reynolds, Inc. - Mark Appleton, Esq. and Charles Brega, Esq. - Brega & Winter

onaru NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03765 AWARD In the Matter of the Arbitration Between Larry and Bonnie R. Yanick, JTWROS Claimants vs. George Casazza Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimants, Larry and Bonnie R. Yanick, who appeared Pro Se, alleged that in January, 1991 when they contacted Global America, Inc. t

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry and Bonnie R. Yanick Claimants CASE #91-03763 AWARD vs . Reginald Scantlebury Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 2, 1991, Claimants Larry and Bonnie R. Yanick who appeared Pro Se, alleged that during October and November 1990, they spoke with Respond

N.A.S.D. AWARD NATICNAL ASSOCIATION" OF SECURITIES DEALERS la the Matter of the Arbitration Between Charles & Judith McGregor vs. NASD #91-03762 PaineWefcber, Inc, Doredda McKinney For < "*ia-iTfBiTi+-g* Charles D. McGregor FOOT Respondents: Scott M. Ratchicfc, Esq., PaineWebber, Inc., Angeles, California CftSB Statenoit of Claim filed: Deceoter 2, 1391 Claimants 1 ****** TO* *ri Agreement signed: Decenber 13, 1991 Joint State

• N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Barbara Johnson Kurc Johnson No. 91-03758 Name of Respondents Shearson Lehman Brothers, Inc. Nick Bocella Mark Greenway REPRESENTATION OF PARTIES For Claimants: John Miller, Esq., of Nygaard & Associates, Overland Park, Kansas. For Respondents Shearson Lehman Brothers, Inc. and Nick Bocceila: John Shaw, Esq., of Bryan Cave, Kansas City, Missouri. Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE jRESOLUTIQN, INC. CASE:01-00830 Bruce Helfrich, claimant vs. Dreyfus Brokerage Services, Inc. and Susquehanna Investment Group, respondents. ATTORNEYS: Claimant appeared Pro Se, Virginia Beach, VA. For Respondent Dreyfus Brokerage Services, Inc. appeared Gary Martino, Senior Registered Option Principal, Los Angeles, CA. For Respondent Susquehanna Investment Group appeared Richard J. McDonald, Bala Cynwyd,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helen Wollen No. 91-03756 Name of Respondents R.G. Dickinson, Inc. Steve Biermann REPRESENTATION OF PARTIES For Claimant: C.L. Robinson, Esq. of Fitzgerald, Schorr, Barmettler & Brennan, Omaha r Nebraska. For Respondents: David W. Dunn, Esq. of Davis, Hockenberg, Wine, Brown, Koehn & Shor r Des Moines, I

M.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS n the Matter cf the Arbitration Between Name of Claimant Ccwen & Conpany PUBLIC 91-03755 Name of Respondent Sunil Munshani Claiuant Cowen & Coopany ("Claimant") was represented by Daniel Donovan, Esq. of Cowan & Company. Respondent Sunil Munsfcani ("Respondent") did not attend the hearing. C3VSB INPCCMftTICN Statement of Claim filed on: November 26, 1991. Claimant's Sutmission Agreemen

N.A.S.D. AWARD ASSOdATICN OF SkUJklTIES nisaT.gpg In the Matter of the Arbitration Between NaineofClaiiDants Manf ord Nictelson Beverly Nickelson NASD Arbitration vs. No. 91-03753 Dean Witter Reynolds, Inc. John Gardner For < 7ij^*"»*>frqT £Q Pro Se For Respondents i Janet T. Love, Esq. - Dean Witter Reynolds, Inc. Statement of Halm filed: November 27, 1991 q«ri rm AIJ i » u^nont- signed on: January 21, 1992 Joint Statement of Ans