N.A.S.D. AWARD NATIONAL ASSOCIATION OF SHUUkiTlfiS In the Matter of the Arbitration Between Name of Jill Stern Capcon Prudential Securities Inc Banpehlre Securities Corporation Stuart, Goleman & Go. Jose Maiorino Martin J. Roteeach Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-00497 For Claimant, Jill Stern Caproa

Arbitration N.A.S.D. AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS ~L. the Matter of the Arbitration Between of 91-00496 Richard & Julia Karn Name of Rfispnndpnta F.S.G. Financial Services Group, Inc. Q & R Clearing Corporation. Metlife Securities Inc. Amnon Ben-Aroya David Flanzer National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212)858-4

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond and Regina Kohl Claimants vs . AWARD Gruntal & Company, Inc. Joel M. Seidel , Respondents CASE #91-00490 CASE SUMMARY Raymond and Regina Kohl by their attorney Alice J. Tillger of Dessen, Moses & Sheinoff, Philadelphia, PA, in a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1991, alleged th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Morris J. Amitay Claimant vs. Gary S. Williky James Padgett Respondents CASE #91-00487 AWARD .CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1991, Claimant Morris J. Amitay, through his counsel Judith Barnett, Esq., Washington, DC, alleged that Respondent Gary S. will iky of Stuart Jam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Ocatart, Inc. NASD Financial Canter 33 Whitehall Street New York. New York 10004 In trie Matter of the Arbitration Betvreen Name of Earlie D. Prince, Sr. & Marion Prince 91-00483 Name of Respondents: A.G. Edwards & Sons f Inc. Fidei Sanchez For Claimants: Theodore Sager Jfeth, Esq. of Math, Woehling & Freeman.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen ) ) Name of flaimant(s) ) ) Aaron and Diane Rosenthal ) ) ) Case No. 91-00481 ) Name of ResTondenti'sl Heard before the members of the Arbitration Panel: Robert Kasky, Esq. Public Robert L. Hudson Public Richard B. Frost Industry Claimants, Aaron and Diane Rosenthal ("Rosenthals"), were represented by Russell L. Forkey, Esq

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00479 AWARD In the Matter of the Arbitration Between Antimo and Annamarie Cancelliere Claimants vs. R.H. Damon & Co., IncT Respondent CASE SUMMARY Pro Se Claimants Antimo and Annamarie Cancelliere, in a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1991, alleged that their broker at R.H. Damon & Co., Inc. Hugo Perotti executed an unautho

Arbitration N.A.S.D. AWARD NATIOtffiL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Consolidated Arbitration Betaroon Carol S. Hooker Weedy Becker Carolyn Z. Cunneen of Consolidated Gases 9$-fl&*€^ 91-0472 and 91-00473 Merrill Lynch Pierce Fenner & 3nith Inc Michael, P. Rooney, Jr. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212} 858

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Clairnant/CounterRespondent Case Number: 01-00720 Gruntal & Company, LLC Respondent/CounterClaimant Hearing Site: Chicago, Dlinois William D. Cantrell, Jr. REPRESENTATION OF PARTIES Claimant/CounterRespondent, Gruntal & Company, LLC ("Gruntal"): Timothy J. Carey, Esq. of the firm Lovells located in Chicago, Illinois. Respondent/CounterClaimant, William D. Cantrell, Jr.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00468 AHARDT In the Matter of the Arbitration Between James H. McKenna f Jr. Claimant vs. Bank South Personal Brokerage Services Respondent CASE SUMMARY Pro Se Claimant James H. McKenna, Jr., in a claim filed with the National Association of Securities Dealers, Inc. on February 12, 1991, alleged that due to misrepresentation by his broker at Bank South's Brokerage Serv