N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Wendy & James Wightman 9 [ -03473 Name of Respondent! s) The Investment Center Inc. Edward Yates Gary Trump REPRESENTATION For Claimants, Wendy Wightman and James Wightman ("Claimants"), Dominic J. Paratore, Esq., from the law firm of Gabrielle & Paratore, P.C. For Respondent, The Investment Center. Inc. ("Id"), Ralp

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CftSE #91-03469 AWARD In the Matter of the Arbitration Between Burt Reany Claimant vs. Madison Chapin Associates, Inc. OTRA Clearing, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 4, 1991, Claimant, Burt Reany who appeared Pro Se, alleged that in July, 1991 Respondent, Madison Chapin Associates, Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Kevin P. and Jill Walker Case No. 00-05266 Names of Respondents D.L. Cromwell Investments, Inc. Francis Louis Smookler, Jr. Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Kevin P. and Jill Walker, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq., Raleigh, North Carolina. For D.L. Cromwell Investments, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony Galizia Case # vs. 91-03460 Name of Respondents Mike Pitsokos Lew Lieberbaum & Co. REPRESENTATION For Claimant: Andrew Hoffman, Esq. for the law firm of Wiseman, Hoffman & Walzer, Brooklyn, New York For Respondent: Lew Lieberbaum & Co., Inc. ("Lew Lieberbaum") represented by Jay Israel, Esq., Associate Direc

Arbitration © National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATICNAL ASSOCIATION OF .qumui'i'iRg EERLERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimant Maida M. Richman 91-03454 Name of Respondents Kidder, Peabody &. Co., Incorporated John Hedden For Claimant Maida M. Richman, John P. Connolly, Esq. of the law firm of Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Guy P. Wyser-Pratt vs. Case #91-03453 Name of Respondents Prudential Securities, Inc. Prudential Insurance Company REPRESENTATION For Claimant, Guy P. Wyser-Pratt ("Claimant"), Michael J. Dell, Esq. from the law firm of Kramer, Levin, Nessen, Kamin & Frankel. For Respondent, Prudential Securities, Inc. ("PSI") and Prudentia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants - ~ John Lane & Robert Panarello 91-03450 Name of Respondents Bailey, Martin & Appel Inc Charles Marwell, III Stephen Harrington Howard Appel REPRESENTATION For Claimants John Lane & Robert Panarello ("Claimants"): Messrs. Lane and Panarello represented themselves. For Respondents Bailey, Martin & Appel Inc. ("Bail

NJLS.D. AWARD ASSOCXKTICN OF SECURITIES DEMJ3RS In the Matter of the Arbitration Between Qf 91-03445 Of pn^|n'rv^on^q , lac. Michael Wheelock For Claimants: pro se. For Respondents: Gregory J* Stenmoe, Esq. of Briggs and Hargan, Minneapolis, Minnesota. rag* Statement of Halm filed November 4, 1391. Claimant's Submission Agreement signed en October 25, 1391. Joint Statement of Answer filed by Respondents on DftTfirfrer 30, 159

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen and Gertrude Ingrassia Claimants vs. Robert Gerek Prudential Securities, Inc. Respondents CASE #91-03437 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 1, 1991, Claimants Stephen & Gertrude Ingrassia who appeared Pro Se, alleged . that Respondent Prudential Securit

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03427 AWARD ~n the Matter of the Arbitration Between Marian Nail Martin Claimant vs. w. Johnston King Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1991, Claimant Marian Nail Martin, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce,