Arbitration _ < 8> N.A.S.D. AWARD National AModation of Sacurtttea Oaalart, Inc. NATIONAL ASSOCIATION OF SttJUKLTihS DEALERS ^™" 9 "* Boulevard In the Matter of the Arbitration Between Name of Claimant (s) Arm p. PjHTnTTitfn 91-03942 Name of Respondent (s) -Bache Securities Inc. Ft. Lauderdale, Florida 33301 (305) 522-7391 Claimant: pro se. : Stephen Z. Frank, Esq. of Prudential Securities, .Inc. Statement of nnini filed

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAI F.RS Name of Claimant Archelon Partners, Inc. and Charles H. Tall, IV No. 91-03929 Name of Respondents First Options of Chicago, Inc. and Joseph Bernier REPRESENTATION OF PARTIES For Claimants: Jonathan N. Eisenberg, Esq. of Kirkpatrick & Lockhart, Washington, D.C., and Howard Suskin, Esq. of Jenner & Block, Chicago, Illinois. For Respondents: Marshall E. Hanbury, Esq., and Rose Owen,

N.A.S.D. AMftRD ASSCdMTCK OF hHlHU'mS D3KLHZS, INC. la the Mattsr of the Arbitration Between Vesta Roach and Betty Beardsley and 91-03925 of T-ataimn flllttQQ, Tnr»_ n/k/a. Shearson y^***™™ Brothers, Inc. Gary S. Jefferson and David B. Claimants were T ^y Ti0i ?^ntgri by lianas S* Stone, Esq. of Dover & Little Rock, Arkansas. Respondents were ™"p~?«ntqd by Soott E. Daniel, Esq* of Hllhnrn, Harper, Pruniski & Calboua, Ltd.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia B. Cisco AWARD vs. NASD 91-03924 Name of Respondents Prudential Securities, Inc. James B. Somes Joel B. Srodes For Claimant: Carroll Melton, Arbitration Consultants, Woodland Hills, California. For Respondents: Timothy N. Will, Esq., of Keesai, Young & Logan, Long Beach, California. CASE INFORMATION Stateme

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Leroy Simon Inc. Claimant vs. CASE #91-03922 AWARD Smith Barney, Harris Upham & Co., Inc. Joel Halpern Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10, 1991, Claimant Leroy Simon Inc. through its counsel Arnold Y. Steinberg, PA, alleged that Respondent Smith Barney

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. (Claimant) v. Darryl L.Capparelli (Respondent) Case Number: 00-05290 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants First Union Securities, Inc., hereinafter referred to as "Claimant," was represented by Edward A. Walton, Esq., of Kane & Fisher, Ltd., Chicago IL. Respondent Darryl L. Capparelli of Houston Texas, hereinafter re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASB #91-03920 AWARD In che Matter of the Arbitration Between Spencer M. Krueger & Mary C. Lefevre Claimants vs. William A. Blick David Marshall Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10, 1991, Claimants, Spencer M. Krueger and Mary C. Lefevre, who appeared Pro Se, alleged that Respondents, William

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack B. & Kitty R. Perry Claimants vs. wilshire Securities, Inc. Wedbush Morgan Securities, Inc. Respondents CASE #91-03919 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10, 1991, JacJc B. & Kitty R. Perry who appeared Pro Se, alleged that Respondents Wilshire Securities, Inc

. K.A.S.D. ANAKD NATICNAL ASSOCIATION OF SHL.TJklT.LES DEALERS In the Matter of the Arbitration Between T ) Name of ri Richard Nozzolese ) Jeffrey Rice ) Howard Kassof } ) Case No. 91-03916 Name of BesmvWit (s) ) == _ m== ^^ ===±=±= ^ PaioeWetber, Inc. ) David Spann ) For Claimants, Richard NUzzolese ("Nuzzolese") , Jeffrey Rice ("Rice") and Howard Kassof ("Kassof N ) : Michael Harris, Esq. of Lewis, V

N.A.S.D. AWARD NATICHAL ASSOCIATION OF SHJUKJ.T1ES DEALERS In the Matter of the Arbitration Between Name Of Virginia A. Johnson NASD Arbitration Nb.91-03913 Name of Respondents Edwin E. Lickiss Danville Financial Group, Inc. T.-ingfy* Financial Group, Inc. Tii nsco/Prlvate Ledger Corp. Financial Network Investment Corp. For Claimant: Darryl P. Rains and William N. Gerson of Marrison & Foerster For Respondent: Financial Network In