Arbitration ® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Terri J. Robertson 91-00301 Name of Respondent(s) Shearson Lehman Brothers, Inc. The Robinson-Humphrey Company, Inc. Richard L. Beacham National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: Ger

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Mildred & Eugene Kaplan Malcolm Kaplan 91-00295 Names of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Dean Witter Reynolds, Inc. Leslie Lukoff Michael Bergold William Bunn REPRESENTATION For Claimants, Mildred Kaplan, Eugene Kaplan and Malcolm Kaplan ("The Kaplans"): Arnold Y. Steinberg, Esq., Boca

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00293 AWARD In Che Matter of the Arbitration Between Innovative Credit Consultants Claimant vs. Barry Bates Respondent P.A5E SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 28, 1991, Claimant Innovative Credit Consultants, through their representative Gidget C. Sune', alleged that Respondent Barry Bates failed to correct a trading

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04915 Jackson National Life Distributors, Inc., Claimant vs. Yankee Financial Group, Inc., Respondent. ATTORNEYS: For Claimant, Jackson National Life Distributors, Inc., ("Claimant"), appeared Philip C. Korovesis, Esq., of the Firm Butzel Long, Detroit, ML Respondent, Yankee Financial Group, Inc., ("Respondent"), appeared through its President, Richard F. Kresge, Bay Shore, NY.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert I. Orenstein Sandra J. Orenstein vs. Claimants CASE £91-00281 AWARD Prudential-Bache Securities, Inc. n/k/a Prudential Securities, Inc. Respondents CASE SUMMARY Pro Se Claimants Robert I. Orenstein and Sandra J- Orenstein, in a claim filed with the National Association of Securities Dealers, Inc. on January 25, 1991, alleged that Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 3f Claimant Thcraas E. Smith 91-00275 Name of Respondents Parker Jameson, Inc. Gary Grandovic For Claimant: Susan L. Riffle, Esq. of Fainnant, Sole Practitioner. For Respondent Parkier Jameson, Inc.: Ifo attorney of record. For Respondent Gary Grandovic: Charles E. Scarlett, Esq. of JW Charles Securities Inc. Claimant signed a Submissio

6 Nfltionei AModrton of Securttiee DMtors, Inc. One East Broward Boulevard Suite 1000 N.A.S.D. AWARD Ft. Lauderdale, Rorida 33301 (305) 522-7391 NATICNAL ASSOCIATICN OF SBCDRTFIES DEALHB3 In the Matter of the Arbitration Between Wilkinson & Jenkins Construction, Oo.,Inc 91-00274 Mans of Shearscn, Lebnan Hutton, IDC. Fbr Claimant, Wilkinson 6 Jenkins Construction Go., IDC. ("Wilkinson"): M. Burns, Esq. of Johnson, Blakely, Pcpe et al.

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS" NASD F ; nancial Center _ _____ __ _ _ 33 Whitehall Street In the Matter of the Arbitration Between New YO rk. N_Y j 0004 Name of Claimant Epilepsy Foundation of Western New York 91-00273 of Respondents Shearson Lehman Brothers, Inc. Sheldon T. Lenahan For Claimant Epilepsy Foundation of Western New York ("Claim

N.A.S.D. AHRKD NAHCNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between o£ Claimants A. Robert Galanti Bennett Paul Altezznan 91-00126 o£ Castle Securities Corp. For Claimants; Michael K. Wolensky of the law firm of Kutak, Rode & Campbell. For Respondent; Paul Chernis, Esq. of the law firm of Silvennan, Collura & Chernis f P.C. case Statement of Claim filed on: January 31, 1991. Claiman

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bane of America Investment Services, Inc. Case No. 00-04913 Names of Respondents Legg Mason Wood Walker, Inc. Richard Andrew Link REPRESENTATION OF PARTIES For Bane of America Investment Services, Inc. ("Bane of America"), hereinafter referred to as "Claimant": George C. Covington, Esq. and Meg Gibbs, Esq., Kennedy Covington Lobdell & Hick