Arbitration vr A o n Maatm National Association of N.A.S.D. AWARD Securities Dealers, Inc. ^_ NASD Financial Center NATIONAL ASSOdATICN OF SBCDRITTES DEALERS 33 Whitehall Street New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212} 858-4389 Name of Claimants Betty M. Foley, Individually and the Betty M. Foley Trust, Dated December 6, 1969, and Betty M. Foley, Trustee 91-01956 NanjeofResDondfints PaineWebber, Inc. Da

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan M. Heist F/B/0 David B. Loose Claimant CASE #91-01954 vs. AWARD Prudential Securities f Inc. Respondent CASE SUMMARY Pro se Claimant Susan M. Heist, in a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1991, alleged that Respondent Prudential Securities, Inc. recommended the purchase of 400 shares

PUBLIC Arbitration M.A S D AWARD National Association of Securities Dealers. Inc. HKTXCNRL ASSOCIATION OF SBJJklTlfcS DEALERS _ __ _ New /ork. N.Y. 10004 IT. the Matter of the Arbitration Between -AX .212) 358-4389 Mame cf Claimants Andrea Haller, Individually and as Executrix Estate of Arthur Haller Case # vs. 51-01942 Name of Allen Boxer Marc Minkof f Gene Ifrjorjcis Jules Lipow For Clainants, Andrea Haller, Individ

N.A.S.D. AWARD ilRTICNRL ASSOdATICN CEP In the Matter of the Arbitration. Between M. and 91-01940 Anchor National Financial ServicesT Inc. Sam J. Giallanza, John Tlnnn **** janes M. Rapisaxda Claimant was represented by larry R. £*+**** r*~r r Esq., TdnMnnri, N.J. Respondent Anchor National Financial Services, Inc. was i t-inracfitrd by John. J. Nlogoxski, Esq. and John Hoopes, Esq. of MDhr, Eackett, Pederscn, Blafcley, Randolph & Sa

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald & Arlene Kent vs. NASD #91-01926 Q£ Pmdffn tlal -Barhe Securities, inc. John Palmar Donald Reiss For Claimants: James C. Krause, Esq., San Diego, California. For Respondents: Terry Ross, Esq., Keesal, Young & Logan, Long Beach, California. Statement of rnalm filed: June 21, 1991 SubBELfisioQ Agreements signed on: June 14, 1991

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Ofek Gloger, (Claimant) vs. Salomon Smith Barney Inc., Greg Roth, Ruben Ricardo, and Mark Esquenazi, (Respondent) Case Number: 01-00775 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Ofek Gloger, hereinafter referred to as "Claimant", appeared pro se. Respondents Salomon Smith Barney Inc. ("SSB"), Greg Roth ("Roth"), Ruben Ricardo ("Ricardo"), and Mark

N.A.S.D. AWARD NATICHAL ASSOCIATION OF SBCDRTTHS DEALERS In the Matter of the Arbitration 3etw«=Qi Name of Claimant Susan K. Goddard 91-01923 pf pAqyvTn^gnt ~".. -»••, Securities Inc. For Claimant: Buckner Wellford f Esq. of Thorason, Hendrix, Harvey, Johnson, Mitchell, Blanchard & Adams, Meaphis, Tennessee. For Respcodent: Gerard Kowalski, Esq. of Prudential Securities, Inc., New York, New York. GRSB Statanent of cna

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carl E. Bock Claimant vs. Quick & Reilly, Inc. Paul D. Zdeb Bruce W. Bratt U.S. Clearing Corp. Respondents CASE #91-01922 AWARD CASE SUMMARY "in a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1991, Claimant Carl E. Bock, who appeared Pro Se, alleged that Respondents Quick & Reilly, Inc., Pa

Arbitration National Association of Securities Dealers, Inc. N.A.S.D. AWARD NASD Finamral Center 33 Whitehall Street NHTCNM, ASSOCTATICN OF SBCDRTTIES DEftLERS In the Matter of the Arbitration Between Name of Claimant PaineWebtoer, Inc. Case # vs. 91-01921 Name of Michael Bloomberg For Claimant: Edward Werner, Esq., in-hcruse counsel. For Respondent: Respondent did not appear. Statement of Claim filed: June 19, 1391. Clai

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Antonetta and Frank Franzone Antonetta Frazone, Custodian ORDER 91-01919 Name of Respondent(s) Shearson Lehman Brothers, Inc. Kenneth Miller The undersigned arbitrators have considered the written submissions and oral argument presented by the parties relative to the Respondents 1 Motion to Dismiss the Cl