N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRITIES DEALERS la tne Matter of the Arbitration Between of Louise Remney 91-00567 PaineWebber, IDC* Arnold Marks For Claimant: David M. Clark, Esq. of dark Wharton & Berry. For Respondents: Gary J. Stegeland, Esq., In-b3use Oaunsel for PaineWebber, Inc. Statement of na-hn filed: February 21, 1991. Claimant's Submission agreement signed on: January 17, 1991. Joint Statanent of Answer of Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of da-hmnt(s) Martin L. & Margaret L. Waldrmn 91-00565 Name of Respondent (s) PUBLIC Barney Harris Ujaham & Co., Inc. Arlid T. Qstensen Far Claimants: Ttnxes D. Giacnetti, Esq. of Stark & Stark in Princeton, Jersey. For Respondent anith Barney, Harris T]£bam & Co. , Inc. : Susan E. Harkins, Escf. of anith Barney, Harris Upham & Co.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen D. Shenker, (Claimant) vs. First Republic Group, LLC, Bear Stearns & Co. Inc., Bear Stearns Securities Corp., Inc., Andre Grant, Chet Harris, Al Vega, and Tony LaGrega, (Respondents) Case Number: 01-00732 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Karen D. Shenker, hereinafter referred to as "Claimant": Lawrence R. Gelber, Esq., Attorney at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name Qf_Claimantfs'i ) Joseph Maenza ) Name oj Case No. 91-00560 Shearson Lehnan Hutton, Inc. For Claimant, Joseph tteenza ("Maenza"): Howard N. Kahn, Esq. of Atlas, Pearlman & Trop, P.A. For Respondent, Shearson Lehman Hutton, Inc. ("Shearson"): William A. Hohauser, Esq. of Shearson. Statement of Claim filed: February 20, 1991. Claimant'

NASO N.A.S.D. NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony & Josephine Giordano vs. David Lerner Associates Richard Burack For Claimant: Franklin D. Qxmsten, Esq. of For Respondent: Robert J. Hume, III, Esq. Statement of Claim filed: February 19, 1991. Claimant signed Submission Agreement on: February 11, 1991. Joint Statement of Answer filed on; Hay 6, David Lerner Associates, Inc. sign

HJBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Edward & Josephine Zita, JT/WROS vs. Gruntal & Co., Inc. Hal Rose Catherine Monteforte Between claimants Respondents 1991, alleged account In a claim filed with the Dealers, Inc. on February 20, Zita, who appeared Pro Se, Catherine Monteforte, an branch office of Respondent, recommended Claimants purchase bonds (the "Fu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ^ Claimants Joseph and Louisa Zullo 91-00544 Name of Respondents Janney Montgomery Scott, Inc. Adrienne Bauer For Claimants: Robert J. Donaghy, Esq. For Respondents: Richard S. Israel, Esq. of the law firm of Archer & Greiner CASE INFORMATION Statement of Claim filed: February 20, 1991. Claimants' Submission Agreement signed on: Feb

HJLS.D. AWARD NKTICKAL ASSOCIATION OF SBCQRIHES DEMURS la the Matter of tbs Arbitration. Between Huffman 4th & Goal Corporation BbZV H* Hbrf-ftiam £* Prudential -Bacbe Securities, IDC. Rick Martin For dainantsi pro se. Fbr Reflpcodeotflj Paul fll^npnnft, Esq. of Prudential Securities, New York, Hew York. daimat's Statement of Halm filed: February 19, 1391. Claimants *HMMIJI aaffnan and Mary Bu£fiDan f as -irirt< viAuiip f

Arbitration ® " National Association of NASD AWARD S«curWe« Dealers, Inc. ™ .**.i3«A*. JWUUJ _ _ , -. . n , , One East Broward Boulevard ,^_ Suite 1000 NRTICNAL ASSOCIATION OP SBOTUTIES DEALERS Ft. Uuderdale, Ronda 33301 (305) 522-7391 In the Matter of the Arbitration Between ) ) Name of Cla-JTnantts) ) ) Kannon Party Design, Inc. et. al. ) ) ) Case No. 91-00541 ) Name of Respondent (s) ) ====*=*===*= }

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman Blattberg Claimant vs. AWARD Dominick & Dominick, Inc. Respondent CASE #91-00540 CASE SUMMARY Claimant Norman Blattberg, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on February 20, 1991, alleged that Respondent Dominick & Dominick, Inc. misrepresented to him units of Insured Municipal investment Trus