NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. CASE #91-02479 AWARD In the Matter of Arbitration Between Stephen P. Moskowitz Claimant vs. Bear, Stearns & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 9, 1991, Claimant, Stephen P. Moskowitz by and through his counsel Richard B. Dannenberg, Esq., New York, New York maintained that on March 7, 1991 Respondent Be

AitHntfen ASSOCIATION OF N.A.S.D..JWARD DERS In the Matter of the Arbitration Between Malvern A. Moran, as Trustee Mama of Shearson Letnan Button, Inc. Albert Zand at toe. On* Eait Bfoward Boutowd Suite 1000 R. Uudartiato, Florida 33301 (305) 522-7391 Case No. 91-02476 For dadnant, Malvern A. Moran, Trustee for ftfalvern A. Moran Trust ("Moran") x Charles D. Franfcen, Esq. For Respondents, Brothers, Inc. ("She

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05239 John Naccarelli, Claimant vs. Morgan Stanley Dean Witter, Respondent. ATTORNEYS: Claimant, John Nacarelli, ("Claimant"), appeared Pro Se., Hermosa Beach, CA. Respondent Morgan Stanley Dean Witter, ("Respondent") appeared through its in-house counsel, Richard A. Rogoff, Esq., San Francisco, CA. DATE FILED: November 27, 2000 CASE SUMMARY: Claimant alleged that he placed a reque

N.A.S.D. AWARD NATICNAL ASSQdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between. p£ Peter Russell Certo, Sr. , administrator 91-02475 Ncme_o£_Resnnnrlffntt Phoenix Equity Planning Corporation For Claimant: Urban tailvehill, Esq. of O'Neill, DiMazmo & Kelly. For Respondent: Ho attorney of record. (393J09FQ9AEFIXXT Claimant filed a Statement of na^ imH»*-^rf f but received by the NASD on August 8, 1991. Claimant e

PUBLIC Arbrt ration N.A.S.D. AWRRD National Association of Securities Dealers. Inc. NKTICKRL ASSOCIATION OF SSA'ULT'*** DEALERS NASD Fin a n cial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimant Investment Management & Research Inc. 91-02472 Name of Anthony S. Lorabardo For Claimant: Kevin A. Carreno, Esq. of Raymond James Associates Inc.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Elizabeth Kaehn Claimant vs. CASE #91-02468 AWARD American Government Certificates & Funds Corp. Robert Le fkowit z Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 7, 1991, Claimant Elizabeth Kaehn who appeared Pro Se, alleged that Respondents American Government Certificates & Fu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. -n nhe Matter of Arbitration Between John Czyscon Claimant CASE #91-02467 AWARD vs. Princeton Financial Group, Inc. Thomas Eaton Mark Rose Respondents CASE SUMMARY In a claim filed with the National Association, of Securities Dealers, Inc. on August 8, 1991, Claimant John Czyscon by and through his counsel Richard N. Bach, Esq., Sole Practitioner, Utica, New York, alleged that

Arbitration ® N.A.S.D. AWAED NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. NaineofClaainants Hashemy anrj M">hanwqgKJ Jtodified 91-02465 Award Name of Respondent Merrill Lynch Pierce Farmer & Smith Inc National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Mike Paulk, Esq. Paul Stivers, Esq. and Laura H.

Arbitration *> N.A.S.D. AWRRD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Edward W. Carroll vs. Name of Respondent T. Rowe Price Investment Services, Inc. National Association of Securities Dealers* Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 853-4389 Case # 91-02460 For Claimant: Pro se. For Respondent: James D. Mathias, Esq. of Piper & Marb

N.A.S.D. AWARD NKTONAL ASSOdWXCN OF SECURITIES DEALERS In the Matter of the Arbitration. Satwsea of E&ard C. & Lara A. Lara A. Hanoasch C* 91-02458 Of ?AE l Olde Discount Corporation For Claimants: pro se. For Respondent: James E. Hall, Esq. of Olde Discount Corporation, Detroit, Michigan. Statanent of Claim filed: August 8, 1991. Claimant's Sutndssico Agrponont signed on: August 1, 1991. Statement of Answer filed by Resp