N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants J.R. & R,N. Schumacher Name of Respondent Shearson Lehman Brothers. Inc. 91-01887 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 18, 1991. Claimants J.R. & R.N. Schumacher, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. failed to follow their instruc

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01868 AWARD In the Matter of the Arbitration Between Barbara & Randolph Lucas Claimants vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1991, Claimants, Barbara & Randolph Lucas, who -appeared Pro Se, alleged that on September 11, 1990, Respondent Shearson Lehman Brothers, Inc. re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-01864 AWARD In the Matter of the Arbitration Between Albert and Genevieve Hodgson Claimant vs. Dean Witter Reynolds, Inc. Boyd Johnson, III Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1991, Claimants, Albert and Genevieve Hodgson, who appeared Pro Se, alleged that Respondent Boyd Johnson, III, made unautho

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Itotter of the Arbitration Between Name of Claimants Branislav & Ranka Dabetic vs. Name of Respondents Shearson Lehman Brothers, Inc. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y, 10004 FAX (212) 858-4389 Case # 91-01859 For Claimants: James P. Duffy, III, Esq. of Meltzer Lippe Golds

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Stamulis (Claimant) v. Citigroup Global Markets, Inc. #k/a Salomon Smith Barney, Inc., Glenn Fischer, and Frank Melia (Respondents) Case Number: 01-00772 Hearing Site: New York, New York Nature of the Dispute: Customers v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant James Stamulis ("Stamulis") hereinafter referred to as "Claimant": George M. Ga

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOdATICN OP SECURITIES DEALERS NASD Fin ancial Center 33 Whitehall Street New York - N - Y - 10004 r r-T - - T-rr - r^rrr - : - Jri: - - -- the Matter or the Arbitration Between. FAX (212) 858-4389 Name of ClaiTmnnts George Madden, Kenneth and Ruth Walters and George Valentine Case #91-01847 #91-01848 Name of

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS" NASD Financial Center 33 Whitehall Street — - : - — — - - — - - — - : - - - New York. N.Y. 10004 -n uie Matter or the Arbitration Between -AX (2121 858-4389 of George Madden, Kenneth anri Ruth Walters and George Valentine Name of Respond 0 *" 1 ts First Investors Corporation, Angelo Coscia

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OP SECURITIES DEALERS" NASD Financial Center 33 Whitehall Street New Vork - N - Y - » . ... - -- cne Matter of the Arbitration Between ~AX (212) 858-4389 Name of e George Madden, Kenneth and Ruth Walters and George Valentine #91-01848 #91-01849 of First Investors Corporation., Angelo Coscia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECORTEEES DEALERS, INC. In the Matter of the Arbitration Between Q£ 91-01846 Werthelm Schroder & Co., IDC. RCM Capital Soger Webb For Claimant: For Respondents: David Goldnan, Esq. of the law firm of Wexler & Burkhart, F.C. RCM Capital and Roger Webb did not appear at the bearing or file any pleadings. CASE IMPOBMKCKM Statement of Claim filed on: June 13, 1991. Claimant's Submis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Ann D. Rendleman Loper Case No. 91-01843 Name of Respondentfs^ Prudential-Bache Securities Inc. James E. Betts REPRESENTATION For Claimant, Ann Rendleman Loper ("Rendleman"): David McDonald. For Respondents, Prudential Securities, Inc. ("Prudential") and James Betts ("Betts"): Gary Klein, of Esq. of Prudential. CASE IN