NASD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Paul DeFalco c/f Sarah DeFalco Name of Respondent fs 1 ! Hibbard Brown & Co., Inc. Glen W. Dautrick Richard laus Daniel Kaye 90-03043 National Association of SocurttlM Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Claimant, Paul DeFalco c/f Sarah Defalco UGMA. CT appear

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case TShimher 01-00710 Vilma Thomas Name of the Respondents Hearing Site: Philadelphia, Pennsylvania Bear Stearns Securities, Corp, Kennister Daley, Claudette Burgess-Gay, and Joseph Visconti RFPPFSFNTATTON OF PARTTRS Claimant Vilma Thomas, hereinafter referred to as "Claimant" was represented at the hearing by Orville McKenzie, Esq., McKenzie & Asso

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sanford Mechanical Equipment Co., Inc. Claimant vs. F.N. Wolf & Co. Paul Boyd Respondents CASE 190-03042 AWARD CASE SUMMARY William H, Sanford, Trustee of the Sanford Mechanical Equipment Company Profit Sharing, in a claim filed with the National Association of Securities Dealers/ Inc. on October 30, 1990, alleged that Respondent Paul Boyd a

N.A.S.D- AWARD NATICNAL ASS6CIATICN OF SfcXJUKlTJLHS DEALERS la the Matter of the Arbitration Between (3) Ted Bittner 90-03036 Mama of ResmndpQt (a) The Stuart* James Coopaxxy Incorporated Michael Reed Green Fbr daimnt: TeA Bittner was represented by D. Craig Olivier, Esq. of Olivier & Steidley, Houston, Texas. Fbr Pa< ^pryyton*'a • *&& Stuart- James Company Incorporated was represented by* Oarista D. Taylor, Esq. of Bart & Trinen, Denver

N.A.S.D. AWARD In the Matter of the Arbitration Between Mama of C 1 James F. Utley NaneofRespondents Interstate/Johnson Tane and Greg Singletary i • '• ' '-; '• i j j, jmr•. — - UJ JAN 151982 90-03035 For Claimant: Pro se. For Respondents: Barry P. Harris, IV, Esq. of Interstate/Johnson Lane, Charlotte, North Carolina. case Statemsnt of Claim filed; on or about October 29, 1990. Claimant's Submission A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Samuel Burtoff, as Trustee of the Samuel Burtoff M.D., PC Pension Trust Claimant vs. Dominick & Dominick, Incorporated Respondent CASE* 90-03033 AWARD For Claimant: For Respondent: REPRESENTATION Robert F. Condon, Esq. of the law firm of McCarthy & Burke. William J. Bethune, Esq. of the law firm of Ross, Marsh, Foster, Myers & Quiggl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Pearl Slate Claimant vs. Robert Collier and Prudential-Securities, Inc. Respondents Case #90-03032 AWARD CASE SUMMARY Pearl Slate, Pro Se, in a claim filed with the National Association of Securities Dealers, fnc. on October 29 9 1990, alleged that Robert Collier, her broker at Prudential-DMhn > Securities, Inc., now known as Prudential

NATIONAL ASSOCIATION OF~SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Milton Tone Claimant vs. AWARD First Union Brokerage Services, Inc. Alan Levin Respondents CASE #90-03030 CASE SUMMARY Pro Se Claimant Milton Tone, in a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1990, alleged that Respondents charged him an excessive commission for the purchase of a Texas Utilities

N.A.S.D. AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Benjamin Claimant 90-03029 Prudential Securities Inc. Respondent For Claimant: Steven J, Mitchel, Esq. of Gold & Mitchel, P.A. For Respondent: Kevin Hurley, Esq., in house counsel at Prudential Securities, Inc. CASE THPGRMKTTCH Claiinant executed a submission agreement on February 5, 1991 and filed a Statement of Claim on Octob

N.A.S.ar AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betsreen DARBY SUITER Claimant and JOE FOE AND BEAR STEARNS & CO. , INC. U 90-03027 AR'- -TRATION -CHICAGO Respondents PMWTBB Claimant Darby Suiter was represented by William Boyd , Esq . of Patterson, Boyd, Lowery, & Aderholt, Houston, Texas. Respondents Joe Poe and Bear Stearns & Co. r Inc. were represented by Cheryl Jerome, E