PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00618 AMARD In the Matter of the Arbitration Between Robert W. Connelly Claimant vs. Dean Witter Reynolds, Inc. William S. Kellar Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 26, 1991, Claimant, Robert W. Connelly, who appeared Pro Se, alleged that Respondents, Dean Witter Reynolds, me. and Willia

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration. Between Ifame of naHTTcmfc Baybank Brokerage Services, Inc. vs. Ifamo of Respondent Louis P. Feat Case # 91-00616 Star Claimant: Norman L Vexnon, Esq., in-house counsel. PCX Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES. DEALERS In the Matter of the Arbitration Between Name of Claimants Jane Gale Tony and Lorraine Sherman Mona and David Montonaro Consolidated No.s: 91-00611; 91-00712 Name of Respondents Mutual Service Corporation John M. Culbertson REPRESENTATION OP PARTIES For Claimants: Steve Samson, Esq., Chicago, Illinois. For Respondent Mutual Service Corporation: Robert J. Jonker, E

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Catherine L. Daidone, Gordon A. Soeder and Linda G. Smith Claimants vs. itherine L. Daidone vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITH CASE #91*00610 AWARD Gordon A. Soeder vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITH CASE #91-02105 AWARD Linda G. Smith vs. Sherman Fitzpatrick & Co., Inc. Sherman F

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert M. Rubin, The Rubin Family Irrevocable Stock Trust, and American United Global, Inc., (Claimants) v. M.S. Farrell & Co., Kirlin Securities, Inc., Douglas F. Gass, and Martin F. Schacker, (Respondents) Case Number: 01-00733 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert M. Rubin ("Rubin"), The Rubin Family Irrevocable Stock Trust ("Trust"), an

N.A.S.D. AWAMX NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naige of Claimants Lorenzo & Sarah Franza vs. NASD #91-00593 Name of Respondents Shearson Lehman Hutton, Inc. Richard T. Hensel, Gene Williams, Jr., Wall Street Pacific REPRESENTATION For Claimants: Charles Cummins, Esq., San Jose, California For Respondents (Shearson Lehman Hutton and Richard Hensel): Philip McLeod, Esq. and Robert

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration^ Between ) ) Mitchell C. Green ) Claimant ) ) AWARD vs. ) ) NASD #91-00590 Kidder Peabody & Company ) Craig Dimond ) Respondents ) ) REPRESENTATION Claimant represented himself. Respondent Kidder Peabody & Company was represented by in- house counsel, William Phelps, Esq., Los Angeles, California. Craig Dimond represented himself, but di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph S. Burch No. 91-00588 Name of Respondents Shearson Lehman Huttony Inc. Rodman & Renshaw, Inc. Lester W. Rodgers REPRESENTATION OF PARTTK5 For Claimant: Paul F. Harvey, Esq. and Dennis Bell, Esq. of Bell & McGurk, Chicago, Illinois'. For Respondents Shearson Lehman Hutton Inc. and Lester W. Rodgers: Thomas M. K

ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Steven J. dementi vs. tfecne of Respondents Sichard Wynfcoop, Richard Sacfcs Sacfcs Investment Ccnpany, ^nc. 91-00573 For Claimant: Steven J. dementi For Respondent: Richard Wyntoop - William Ziering, San Francisco, California. For ReapcpAsnta: Richard Sacks and Sacks Investment Ccxnpany, Inc. - Richard Sacfcs Ziering. CRSB Statement of Claim filed

NASO N.A.S.D. AWARD NKTIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Betvreen Helen P. Paris 91-00570 Richard King Tte totoinsan-Hunphrey Co. r Inc. Star Claimant: Allan P. Harris Esq. of the law firm of Allan P. Harris & Associates. Fbr Respondent