NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03142 AHARD In the Matter of the Arbitration Between Marie & Jasper Spinelli Claimants vs. South Richmond Securities, Inc. Refco Securities, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimants, Marie & Jasper Spinelli, who appeared Pro Se, alleged that in July 1987 Respondent South Richmond

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03137 AWARD In the Matter of the Arbitration Between Bartlett L. Ackerson Claimant vs. Barrett Day Securities, Inc. Paul Keiley Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimant Bartlett L. Ackerson r who appeared Pro Se, alleged that on March 8, 1991 Respondent Paul Keiley, branc

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gabriel R. and Laura M. Galleto Name of Respondents Princeton Financial Group Inc. 91-03136 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: For Respondent; The Claimants appeared pro se. The

ARBITRATION AWARD NASD DISPUTE RESOLUTION, INC. In the Matter of the Arbitration Between Name of Claimant Claire Pecqueur Case No. vs. 00-05244 Name of Respondent Richard Thomas Tanaka REPRESENTATION Claimant was represented by James G. Killough of Atlanta, Georgia. Respondent was represented by Andrew Ziolo and Rex Cornelison of Cornelison & Ziolo, LLP, Atlanta, Georgia. CASE INFORMATION Statement of Claim and Claimant's Sub

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Murdza and David Murdza, (Claimants) vs. Fidelity Investments, Inc. a/k/a Fidelity Brokerage Services, Inc., (Respondents) Case Number: 00-00528 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Richard Murdza ("R. Murdza") and David Murdza ("D. Murdza"), hereinafter collectively referred to as "Claimants": Miles E. Hoisington, Esq., Hoisington &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louis Merlo, Claimant, vs. Donald L Whitton, Seger Financial, Inc. (a/k/a Martha R. Seger Associates, Inc.), Martha R. Seger Financial Group, Julie A. Baetz, Damian S. Kassab, Susan R. Sofia, Dr. Martha R. Seger, Vincent Brennan and Jon V. Rogers, Respondent(s). Case Number: 00-00059 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant,

N.A.S.D. AWARD ASSOdATICH OF SECURITIES DEALERS In the Matter of tbe Arbitration Between of Charles M. Bennett 91-03135 Dean Hitter Reynolds, Inc. For Claimant: Charles M. Bennett was represented by Charles Wist, Esq. of Wist Boyd. Holland & Dailey, located in Houston, Texas. For Respondent: Dean Witter Reynolds, Inc. was represented by Wendy R. Robinson, Esq. of Dean Witter Reynolds Inc., San Francisco, Statement of maim filed: October 8, 1

N.A.S.D. AWARD NATICNAL ASSOdATTCN OF SECURITIES DEALERS In the Matter of the Arbitration Between } ) Name of Claimant (s) ) =«=_== } Marianna R. Hodge ) Case No. 91-03133 ) ) Name of Respondent (s) ) sa _ ===fe===te ^ Prfrvtr>am-l*iii^i1irtty CO., Inc. ) KBatSflgf.LHCI.JXlf For Claimant, M»THarm* Hodge ("Hodge"): Janes C. Cothran, Jr., Esq. of Holcombe, Bomar, Cothran & Gunn, p. A. For Respondent, af*vingr« H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Cubic and Carmen Fortenberry Case No. 91-03132 Kober Financial Corp. Victor Alexander a/k/a Viktor Joerg Wieschalla Randolph Kahl-Winter James Allen REPRESENTATION - ^-i "^.: For Claimants: Cubic and Carmen Fortenberry ("the Fortenberry s"): T. Kevin Knight, Esq. of Drage, DeBeaubien, Knight & Simmons. For Re

Arbitration HTATS.D. AWARD \-/ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between of Anthony M. & Josephine A. Orlando vs. Jesup, Josephthal & Co Inc. National Association of Securities Dealer*. Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-03131 For Claimants, Anthony M. and Joseph A. Orlando, Btaxd T. Dangel, in, Esq. and co-coun