NASID N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Ifetter of the Arbitration Between Name of Claimant David Wasserman vs. nf Arbitration National Asaodation of StcurttfM Daaiors, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 91-00517 Lonbard Securities Corp. For Claimant: Steven H. Sewell, Esq. of Salarnon, Gruber, Newnan & Blaymore, P.C. Respondent, Lombar

N.A.S.D. AWARD ASSOCIATION OF SECURITIES Artvi i-rat-jlnn Name of Cla-JTmnt William R. Leep NASD Arbitration No. 91-00515 Name of Respondents Power Securities Advent: Securities First American Equities Corp Vern Wheeler Jerry Trnrripy Ray Blitstein Gary Sylvestri Neil F. Hornby Henri R. Hornby Walter T. Black Fee Claimant: James Dietz, Esq. - Medford, Oregon For Respondent; Power Securities - Rich Marguese

7VASO N.A.S-D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the tetter of the Arbitration Between Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Michael Sopko Name of Olde Discount Corporation David M. Clever 91-00513 For Claimant Michael Soptoo ("Claimant"): Anthony v. Trogan of Weisman, Trogan et al. For Respondents Olds Disc

NASD N.A.S.D. AWARD NATIONAL 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 Between Name of Clai Elizabeth Haines and Robert Haines 91-00512 Name of Respondents: U.S. Boston Capital Corporation Leon Okurowski For Claimants: Dennis Smith, Esq. of Clancy, Callahan & Smith. F

\^R> N.A.S.D. WORD T NOTIONAL ASSOdKTICN OF SBCDRITIES DEMTOS, INC. la the Matter of the Arbitration Between NameofCladinant Richard Fitzsizmons 91-00511 Name of Respondents John B. Freeman Arden Brown For Claimant: Clainant appeared pro se. For Respondent Arden Brown; Jerry Selvers, Esq. of the law firm of Sonnenblick, Parker & Selvers. The Respondent John £. Freeman did not attend the hearing. CRSE Statement of Claim fi

Arbitration -' N.A.S.D. AWARD National Association of Securities Dealers, Inc. ASSOdftTICK OF SBCXOTS DEALERS _ _ . _ New York, N.Y. 1 0004 In the Matter of the Aibitration Between FAX (21 2) 858-4389 pf Anthony L. Glnesi 91-00509 Q£ Respondent Wallace Giakas For Claimant Anthony L. Ginesi: Antonio Inacio, a sole pracfr i t1 mwr . For Respondent Wallace Giakas: Robert T. Norton, of Norton & DeRose, F.C. case Statement of rna-im f

PUBLIC N.A.S.D. AHBKD NRTICNRL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between of Terry Harper 91-00508 Q£ pagprmrtenfag Brothers, Inc. The Rnhlnann Hinnfljrey Company, Inc. William L. Ef finger, III Oscar Ayala, Jr. For Claimant: Mark H. Levison, Esq. and Howard S. Staotkin, Esq. of the law firm of Rieanan & Blitz, P.O. For Respondents: .gho^T-pon Lehman Brothers, Inc., The Robinson Hmt|j1 n ty

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kama of Claimant Helen Lanzetta 91-00502 Name of Respondent Robert Ta-itrnan For Claimant: John J. Evans, Esq. of the law firm of Collins & Evans, P.C. For Respondent: Robert Laitznan appeared pro se. CASE Statement of Claim filed on: February 11, 1991. Claimant's Submission Agreement signed on: December 31, 1990. Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joyce Mertz, Individually, and as Trustee of the Joyce T. Mertz Revocable Living Trust U/A/D December 17, 1989 91-00499 Name of Respondents Kidder, Peabody & Co., Incorporated Timothy J. Sheehan REPRESENTATION For Claimants {"Claimants"): Stuart Sinai, of Kemp Klein et al. For Respondents Kidder Peabody & Co,, Incorpor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00723 James P. Wandell, Claimant vs. Family Incoming Planning Inc., Respondent. ATTORNEYS: Claimant, James P. Wandell, appeared pro se, Amityville, NY. For Respondent appeared Jacqueline M. Westbrook, President, Southern Pines, NC. DATE FILED: February 13, 2001 ~~~~ CASE SUMMARY: Claimant alleged that respondent failed to pay him commissions at 60% as previously agreed to, due to c