N.A.S.D. AWRKD ASSOdAHCU OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert Kronemeyer 91-02941 Name_ofRespondent(s) Concorde Brokerage Corporation For Claimant: Claimant Robert Kronemeyer appeared pro se. For Respondent: Michael Bachnftr, Esq. of New York City. case Statement of Claim filed: September 20, 1991. Claimant's Submission Agreement signed on: February 13, 1991. Statement of Ansvrer filed by Resp

Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 10004 FAX (212} 858-4389 Name of Joan Weistocpf Case # vs. 91-02940 Name of Janney Mcntgcmery Scott Inc Mortimer Goldman For Claimant, Joan Weiskcpf , Peter Cella, Esq. of the law firm of Duign

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Matt and Frances Moreili 91-02939 Name of Respondent(s) Darnall, Kemna & Co., Inc. Marc D. Kemna Anthony S. Vaughan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimants Matt and Frances Morelii, who appeared Pro Se, alleged that Respondent D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #9X- 02938 AKUED In the Matter of the Arbitration Between Jung Ja Hong Claimant vs . Shearson Lehman Brothers, _Inc. Alan Cohen Respondents CASE SUMMARY In a claim filed with the National Association of Securitie Dealers, Inc. on September 20, 1991, Claimant Jung Ja Hon^ wh appeared Pro Se, alleged that in 1987 Respondent Alan Coheir, Financial Consultant with Respondent S

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02930 AWARD In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant vs. Giovanni and Maria Vaselli Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimant , Merrill Lynch, Pierce, Fenner & Smith, Inc., by and through their outside counsel, Kathy D. Patric

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lambda Mech. Contracting Corp. Trust 91-02929 Name of Respondents Michael Eisenberg Concorde Brokerage Corp. REPRESENTATION For Claimant: Harold Krane, Trustee, Pro Se. For Respondent, Concorde Brokerage Corp.: Michael Bachner, Esq., a sole practitioner. For Respondent, Michael Eisenberg: Michael Eisenberg, Pro Se. CASE

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATICNSEi ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between of Claimant Nbrma Bradford 91-02928 Name of Respondents Legg Mason Wood Walker, Inc Monica Coleman For Claimant: Patrick G. Finnegan, Jr., Esq. For Respondent: Dana N. Pescosolido, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. A"' CASE: 00-04996 Gerald E. Kloth, claimant vs. Fidelity Investments and Rydex Distributors Inc., respondents. ATTORNEYS: Claimant, Gerald E. Kloth appeared Pro Se, Mequon, WL For Respondent Fidelity Investments ("Fidelity") appeared Colleen A. Hankins, Esq., in-house counsel, Boston, MA. For Respondent Rydex Distributors, Inc. ("Rydex") appeared Christina T. Ng, Esq., of the firm Morg

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jane C. Pearson Claimant vs. Kober Financial Corp. James Rennert Respondents PUBLIC CASE #91-02923 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimant Jane C. Pearson who appeared Pro Se, alleged that Respondent James Rennert strongly solicited her to purchase 2,00

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-02922 AWARD In the Matter of the Arbitration Between Norman and Tonia Nisen Claimants vs. Kirlin Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1991, Claimants, Norman and Tonia Nisen, who appeared Pro Se, alleged that Respondent, Kirlin Securities, Inc. failed to follow their expl