N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant (s) ) John ftnirlo ) ) Case No. 91-00413 Name of Respondent(s) ) Merrill Lynch Pierce Femer & Smith Inc ) Lynn S. Spinella ) For Claimant, John Sourlo ("Smorlo"): Russell L. Forfcey, Esq. For Respondents, Merrill Lynch, Pierce, Femer & anith, Inc. ("MLPFS") and Lynn S. Spinella ("Spinella"): Gill Freeman, Esq. of Ruden Barnet

N.A.S.D. -AWARD NATIONAL ASSOCIATICU OF SfcLURi'lMJS Lhe Matter or tie Arbitration. Between Antoinette Yaamanno Joanne Schif f Joseph Tusa Wayne Breanessei Kathy BrBg»w^*«*>i Georgette Alexander fTat-ttfinTV 81 ^T-^^grv? 91-00411 Mame of Philip R. 'nrrrrvaia Time Capital Securities Corp. For Claimant: U.oyd S. Claranen, Esq., Sole Practiticner. For Respondeat, Philip R. Inoorvaia: Richard M. Gelb, Esq. of Gelb & F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Qma'jeanne J. Albrecht Rebecca J. Lipp, JTTEN vs. Dean Witter Reynolds, Inc. Scott James Claimants Respondents REPRESENTATION CASE* 91-00410 AWARD For Claimants: For Respondents George Leroy Moran, Esq. of the law firm of Kellogg, Krebs & Moran, P.C. Melinda Socol Herbst, Esq. CASE INFORMATION Statement of Claim filed: Februa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Raymond F. Heesch 90-03113 Name of Respondents Raymond, James & Associates, Inc. Robert Thomas Securities, Inc. Raymond F. Heesch appeared pro g&. Robert Ttaones Securities, Inc. and Raymond James & Associates, Inc. were represented by Paul L. Matecki, Esq., General Counsel. In a Statement of Claim filed with' the National Association of Se

In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00714 Jeffrey Passalino Name of the Respondents Hearing Site: Chicago, Illinois Protective Group Securities Corporation, Steven Grau, and Stephen Molinari REPRESENTATION OF PARTIES Claimant, Jeffrey Passalino ("Passalino"): John A. Dienner, Esq. of the firm Kubasiak, Fylstra, Reizen & Rotunno located in Chicago, Illinois. Respondents Protective Group Securities Corporation ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard D. Rubin, M.D. vs. Case# 90-03106 Name of Respondents Victor Wegard Louis Arbrmovitz REPRESENTATION Claimant Richard D. Rubin, MD. ("Claimant"), Mary Ann Stokes, Esq. and Peter S. Pearlman, Esq. from the law firm of Cohn Lifland Pearlman Hermann & Knopf. For Respondent L. C. Wegard & Co., ("L.C. Wegard"), Lawren

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03105 AWARD In the Matter of the Arbitration Between Sutro & Co., Inc. Claimant vs. Dave Lond Respondent CASE SUMMARY Sutro & Co., Inc., in a claim filed with the National Association of Securities Dealers, Inc. on November 2, 1990, alleged that Respondent Dave Lond has failed to repay a debit balance in his customer account. Respondent, Dave Lond, maintained that the debi

Arbitration National Association of N.A.S.D. A*™* 0 Securities Dealers. Inc. NASD Financial Center NATICNAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name nf naimnf-g Estate of T^vfTiag stanbaugh by T. William Stembaugh 90-03103 PUBLIC Name of flhBarsaa T-oTmnttn Brothers, Inc. Daniel C. Lucas For Claimants Estate of Thomas Stembaugh b

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between AC Gardner And Johnnie L. Gardner Claimants, #90-03079 and Dean Witter Reynolds, Inc. And James S. Stanley Respondents REPRESENTATION OF PARTIES Claimants, AC and Johnnie L. Gardner, were represented by Kieran D. Maye, JR, esq., and Ronald L. Matlock, esq. Claimant Johnnie L, Gardner was not present. Respondents, Dean Witter Rey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Oppenheimer & Co., Inc. No. 90-03074 Name of Respondents American Glass Industries, Inc. Robert Lewandowski REPRESENTATION OP PARTIES For Claimant: Joseph F. Keenan, Esq. of Bochat & Keenan, P.C. Respondents American Glass Industries, Inc. and Robert Lewandowsici failed to appear at the hearing. CASE INFORMATION Sta