N.A.S.D. AWAKE NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Eli Vigllano Eli Vigil ano TIEE F/B/O Fannie Vigil ann 91-03912 of Charles Schwab & Gcnpany, Inc. For daimant: Richard G. Fontana, Esq. of Farrauto, Tto»Tnan Montana & Selznick. For Respondent; Daniel Brooks, Esq. of the Law Offices of Daniel Brooks. Statement of Palm filed: January 3, 1992. Claimant Eli Vigliano's Sukmission Agreane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Morris Goldberg 91-03908 Name of Respondents PaineWebber. Inc. Tom Byer REPRESENTATION For Claimant: Marvin A. Jaffe. Esq. a sole practitioner. For Respondents. PaineWebber. Inc. and Tom Byer: James E. Farnham. Esq. of Hunton & Williams. CASE INFORMATION Statement of Claim filed: February 10, 1992. Claimant's Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eileen Foytho 91-03904 Name of Respondents Shearson Lehman Hutton, Inc. Victor Alibrandi Eric Lento REPRESENTATION ' For Claimant, Eileen Foytho ("Foytho"): Debra Herman, Esq. of Tew & Garcia-Pedrosa. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Victor Alibrandi ("Aiibrandi"): Lonnie Browne Zangrillo,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATIONS BETWEEN FIRST MONTAUK SECURITIES CORP. J FIRST MONTAUK FINANCIAL CORP., f CLAIMANTS i V. CAROLS GERSTENBLUTH, EDWARD GLUECK, JUDITH GLUECK, JULIUS SCHREIBER, HELEN SCHREIBER and PAUL R. CASE NOS. 91-03895; 91-03896; and 91-03897 (consolidated) AWARD BY CONSENT RESPONDENTS < > CASE SUMMARY Claimants, First Moritauk Securities Cor

I Revised Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: BBBB, LP v. PaineWebber, Incorporated, PaineWebber Group, Inc., UBS Warburg LLC, UBS AG, and EricWormser Case Number: 00-05289 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant BBBB, LP( "BBBB") was represented by Jack H. Halperin, Esq, located in New York, New York. Respondents PaineWebber, Incorporated ("PaineWebber"), PaineWebber Group, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. -N THE MATTER OF THE ARBITRATIONS BETWEEN FIRST MONTAUK SECURITIES CORP. > FIRST MONTAUK FINANCIAL CORP., ] CLAIMANTS > V. CAROLE GERSTENBLUTH, EDWARD GLUECK, JUDITH GLUECK, JULIUS SCHREIBER, HELEN SCHREIBER and PAUL R. CASE NOS. -91-03-895; 91-03896; and 91-03897 (consolidated) AWARD BY CONSENT RESPONDENTS \ CASE SUMMARY Claimants, First Montauk Securities Corp. and Fi

N.A.S.D. AWARD ASSOCIATION OF sucuuiTms HEALERS Arbitration National Association of Securities Cfeatore, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Jfetter of the Arbitration Between Of Kamal Alfaqih and Effat Younis Name of Respondents 91-03883 l Kblaghassi J. Patrick Driver J. W. Gant & Associates, Inc. For Claimants: Kama! Al-Faqin. and Effat Unis appeared pro se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dr. Kathryn Rezek No. 91-03882 Name of Respondents Whale Securities Co. - - **- Heywood Brody Elliot J. Smith REPRESENTATION OF PARTIES Dr. Kathryn Rezek appeared pro se. Respondents Whale Securities Co. and Elliot Smith appeared by telephone and were represented by John P. Bevilacqua, Esq. of Tenzer, Greenblatt, Fa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES ng&TJ33fi f INC. In the Matter of the Arbitration Between Nane_of_Clai3naiit Dennis Johnson and 91-03881 of Quick & Reilly, Inc., Richard Hawaii and Gerald Duprey OF EBKQES Claimant was represented by Lloyd S. darenem, Esq., Hew York, NY* Respondents Quick & Reilly, Inc., Richard Howell and Gerald Duprey were represented by Paul F. McCurdy, Esq. of Kelley, Drye and Warren, P.C.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. MR 13 1993 In the Matter of the Arbitration Between J\\ L Name of Claimants . Hugh H. and Phyllis S. Arnold -" — -~ r - and 91-03880 - . **- Name of Respondents Kober Financial Corp., James Hosch Richard Rouse and Charles Pankey REPRESENTATION OF PARTIES Claimant was represented by Noel Guardi, Esq., Denver, Colorado. Respondents Kober Financial Corp.