NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-OQO22 AWARD- In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Scott H. and Robin C. Domnie Respondents CASE SUMMARY Dean Witter Reynolds, Inc. by its attorney Dominick J. Dorata, New York, NY, in a claim filed with the National Association of Securities Dealers, Inc. on October 26, 1990, alleged that Respondents Scott H. and Robin C. Domnie have

Arbitration N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Mary Ellen Burke »riH Paul V. Burke, Individually and as Executeir of the Estates of Eleanor H. & Ecfr«rd P. Burke 90-03021 Nsme of Merrill Lynch Pierce Fenner & Smith Inc Robert W. Smith National Association of Securities Dealer*. Inc. NASD Financial Center FAX (2 12) 858-4389 • Claimants: Robert Lane, Esq. of Hodgson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Merit Capital Associates, Inc., (Claimant) vs. Jonathan R. Lake, (Respondent) Case Number: 01-00706 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Merit Capital Associates, Inc., hereinafter referred to as "Claimant": Robert Fitzpatrick, Esq., General Counsel, Merit Capital Associates, Westport, CT. Respondent, Jonathan R. Lake, hereinafter referred to as

NATIONAL ASSOCIATION OF SECURITIES DEALERS r INC. In the Matter of the Arbitration Between Susan Lilley Hoyer Claimant vs. Edward D. Jones and Company, Inc. Respondent Case J90-Q3018 AWARD CASE SUMMARY Susan Liiley Hoyer, in a claim filed with the National Association of Securities Dealers, -Inc. on October 26, 1990, alleged that Respondent Edward D. Jones and Company misrepresented the true quality and safety of United Banke

Arbitration -- W.A.S.U. ^WAKLJ National Association ot Securities Dealers* Inc. NRTICNAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitenal! Street In the Matter of the Arbitration Between N ® w fork. New York 10004 of Christine A. Neuman & J. Dellafiora 90-03014 Name of Respondent (a) Carona & Hbdges Securities, Inc. Carona & Hbdges Jfanagement Inc. James G. Carona William J. Hodges For Claimants

- NATIONAL ASSOCIATION OF' SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jabe M. Pratt Kathlyn Y. Pratt Claimants vs, Prudential Securities, Inc. James D. Gaberino Respondents CASE f90-Q3009 AWARD CASE SUMMARY Pro Se Claimants Jabe M. and Kathlyn Y. Pratt , in a claim filed with the National Association of Securities Dealers, Inc. on October 25, 1990, alleged that Respondents Prudential-Bache Securities, I

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfcXJUKITlfeS DEALERS In the Matter of the Arbitration Between NaineofQaijnaxit Arthur L. Ttonnan 90-03001 NameofRfiSDQndents J. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Ryan 3ecJc & Go. For Claimant Arthur L. et al. ("Claia»nt") : David S. Mack, of Hersh, Rams

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John J. Bray/ Jr. Claimant AWARD vs. Global Investor Securities, Inc. Respondent Case #90-02983 PASE SUMMARY Pro Se Claimant, John J. Bray, Jr., in a claim filed with the National Association of Securities Dealers, Inc. on October 23, 1990, alleged that Eric Gehler p while employed at John Parca and Associates, misrepresented the risks i

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Grippa (Claimant) Case Number: 01-00705 Cantone Research, Inc. and Anthony Cantone Hearing Site: New York, NY (Respondents) Neil A. Grippa (Third Party Respondent) REPRESENTATION OF PARTIES Claimant, Frederick Grippa, hereinafter referred to as "Claimant": Dan A. Druz, Esq., Manasqua, NJ Respondents, Cantone Research, Inc. ("Cantone") and Anthony Cantone ("

N.A.S.D. JWHZD ASSQCIMICH OF SULUR1TIK5 TKftTHg In tte Matter rrF H^ aTtvitTr?tvif¥l R_ Galster *•»* rsa-ii R. Galster JtKtos 90-02972 H CF Claimants .qhftiA-m R. Galster and Gail R. Galster appeared pro se. Respondent Mark Mosaraca was present and was represented by P«MIH H. Zlller, Esq. and James Apaia, Esq. CftSE SOMffiSY In a StatenKnt of ma-im filed with the National Association of Securities Dealers, Inc. ("NASD") cor or about Octo