N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Patricia B. Perry _- ._.— and -,.^ 91-02591 Names of Respondents Sutro & Co., Inc. and Richard Bellinfante REPRESENTATION OF PARTIES Claimant, Patricia B. Perry was represented by J. Emery Barker, Esq. of Mesch, Clark & Rothchild. P.C. of Tucson, Arizona. Respondent, Sutro & Co., Inc. was represented by Michael J. Mee

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Randle E. Theobald, Dora Theobald, Laura "Jeanne" Blanchard, and Curtis J. Blanchard, Claimants v. BT Alex. Brown, Incorporated, nka DB Alex. Brown LLC, Douglas S. Boszhardt, and James E. Hulburd, Respondents Case Number: 00-04930 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: Julian D. Jensen, Esq. Craig Carman, Esq. Jensen, Duffin, Carman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-02588 AWARD In the Matter of the Arbitration Between Christiane Jackson Claimant vs. Bear, Stearns & Co., Inc. David E. Kurland and Gary Shemano Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1991, Claimant, Christiana Jackson who appeared Pro Se, alleged that Respondent David E. Kurland failed to prope

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimant: Theodore S. Tobison No. 91-02586 f Respondents Creative Equity Resources, Inc. Roger A. Sexter REPRESENTATION OF PARTIES For Claimant: Mark Briol, Esq. and Gregory Wilmes, Esq. of Briol and Wilmes. For Respondent , Creative Equity Resources , Inc . : Richard Pogin appeared. For Respondent , Roger A. Sexter : James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward & Carmella Giangreco Alan A. Giangreco Marilyn Giangreco (Sanders) 91-02582 Name of Respondents Advest. Inc. Casimer (Casey) Jaszewski REPRESENTATION For Claimants: Donald G. McGrath. Esq. of Falk & Siemer. For Respondent, Advest. Inc.: Paul K. Stecker. Esq. of Phillips Lytle Hitchcock Elaine & Huber. Fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02581 AWARD In the Matter of the Arbitration Between James H. Gaddis Claimant vs. Andover Securities, Inc. Victor Schimming Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1991, Claimant James H. Gaddis who appeared Pro Se, alleged that Respondents Andover Securities, Inc. and Victor Schimming failed to deli

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Dana Loewenthal Case No. 91-02580 Name of Respondentfs) Global Capital Securities, Inc. Frank Laudadio Sheldon Lieberbaum REPRESENTATION -/ For Claimant, Dana Loewenthal ("Loewenthal"): Russell L. Forkey, Esq. For Respondents, Global Capital Securities, Inc. ("Global"): Michael H. Pincus of Vantage Securities, In

H.A.S.D. AWRKD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Rudolph S. Bodnar Helen E. NASD Arbitration No. 91-02578 Name of Respondents Daan Witter Seycclds, lac. Robert F. Howard For Claimant: Rudolph S. Tw*na-r* - m Pro Se For Respondents: Curt H. Mueller, Esq. - Dean Witter Reynolds, Inc. CBSB Statement of (Tla-im filed: August 20, 1991 Amended Statement of c^^im filed: March 24, 1992

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Karen G. Gianforte Claimant CASE #91-02575 AWARD vs. Dean Witter Reynolds, Inc. Neal T. Hughes Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1991, Claimant Karen G. Gianforte by and through her counsel, Richard F. Berkey, Esq., Sole Practitioner, Turnersville, New Jersey, al

K.A.S.D AWARD NATIONAL ASSOCIATION CEP SECCRITIES DEALERS in the Matter of the Arbitration Between ) ) of daiinant(s) ) Irving Rudolph ) ) Case No. 91-02563 ) Name of Jesup, Josephtbal & Co. Inc. ) Peter MiASletcn ) JSC Securities Co., Inc. ) For Claimant, Irving Rudolph ("Rudolph") : Lloyd S. darenan, Esq. For Respondents, JSC Securities Co., Inc. flea Jonqphthnl & Co., Inc. {"JSC") and Peter Middletxa ("Middletxn") : David Jame