Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hornblower & Weeks, Inc. and CJR Equity LLC, (Claimants) vs. Christopher Shawn Murphy, (Respondent) Case Number: 00-05264 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Hornblower & Weeks, Inc. ("H&W") and CJR Equity LLC ("CJR"), hereinafter collectively referred to as "Claimants": Frank J. Zazzaro, Esq., Imperial, Zazzaro & Calabro, P.A., Montclair, NJ.

N.A.3.D. AWARD ' "ATICNAL ASSOCIATION OF SECURITIES DEALERS In "ne Mat~er of the Arbinration 3etween Name cz Claimant Andrew Linz 91-03421 Name of Respondents Wakefield Financial Corp. Alexander G. Mineila REPRESENTATION For Claimant Andrew Linz '"Claimant":: Robert 3. Weintraub, a sole practitioner. For Respondent Wakefield Financial Corp. ("Wakefield") and Alexander G. Mineila ("Mineila"): Francis J. Murray, a sole practitioner

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between James & Verna Wilson Claimants vs. J.W. Gant & Associates, Inc. Kenneth Lowman Respondents CASE #91-03417 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1991, Claimants, James & 'Verna Wilson who appeared Pro Se, alleged that in July 1987 they opened an account with Respondent, Kennet

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03416 AWARD In the Matter of the Arbitration Between Marvin L. Porten Claimant vs. Waterhouse Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1991, Claimant, Marvin L. Porten", who appeared Pro Se, alleged that Respondent, Waterhouse Securities, Inc. delayed in the execution of a Zero

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin C. Hill 91-03413 Name of Respondents Patrick J. Coty Mary Beth Williams John Glenstrup Corestates Securities Corp. Corestates NJ National Bank National Financial Services Corp. REPRESENTATION Claimant. Edwin C. Hill ("Claimant") represented himself. For Respondents. Patrick J. Coty ("Coty"), John Glenstrup

PUBLIC NATIONAL ASSOCIATION"OF SECURITIES DEALERS, INC. CASE #91-03411 AWARD In the Matter of the Arbitration Between Edward C. Aselman, Jr. Claimant vs. Shearson Lehman Button, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1991, Claimant Edward C. Aselman, Jr. who appeared Pro Se, alleged that on September 1, 1988 Respondent Shearson Lehman Hutton, Inc., by

PUBLIC N.A.S.D. 3NAKD ASSOdATIClT OF SSCDRTTIES DEALERS In the Hatter of the Arbitration Between NamaafClaimant Purushottam Rathi vs. NSBBS Of Chatfield Dean & Co., Inc. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-03410 For Claimant: Barry Friedman, Esq. of Spevack & For Respondent: Stephen E. Kapoik of

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECdRirns DEALERS In the Matter of the Arbitration Between Name of Rcnnlri F, Rawlinson Sara Ann Rawlinson vs. NASD #91-03399 Terry Glen J. Ii-.ts Sentra Securities Corporation For naSTnant-q* rlaHTnani-q r ^T *- t ffPP t ''= > ^ thflBSel V6S . For Respondents Anderson and Lutz: Roger D. Ma3 1.em F Esq., Foster Pepper & Shefelman, Seattle, Washington* EOT Responde

NJUS.D. AWARD ASSOCXAHCN OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Robert Aider as 91-03398 Mamas of Respaadfint(s) David Kenney For Claimant: Michael Bertz, Esq. of 1801 Century Park East, Ste 2400; Los Angeles, CA 90067. For Respondent: William wnftumjaaii^ Esq* of Fhpnrgrf 1 T^>"«n Bros. case Statement of Haim filed: October 29, 1391 Claimant's Submission Agreement signed on: November 15, 1991

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Goetzel Three Year Trust Warren W. Koffler, TTEE va. Gruntal & Co., Inc. Edward Lefkow Claimant CASE #91-03397 AHARD Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1991, the Goetzel Three Year Trust, Warren W. Koffler, TTEE, who appeared Pro Se, alleged that R