Arbitration N.A.S.D. AWARD NKTICNRIi ASSOCIATION OF SBCDRITTES DEALERS In the Matter of the Arbitration Between Name of Clalimnts Rrtmmri and Louise latif vs. Name of Respondent Anthony J. Pontieri National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX {212) 858-4389 Case # 90-02129 For Claimants; flan Marchitello. For Respondent: Pro se. CftSE IHFCB

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Charlotte A. Morrow Claimant vs. CASE #90-02128 AWARD McLaughlin, Piven, Vogel Securities, Inc. Nicholas K. Mennona Respondents CASE SUMMARY Charlotte A. Morrow, in a claim filed with the National Association of Securities Dealers, Inc. on August 2, 1990, alleged that Respondent Nicholas K. Mennona, a Vice President with Respondent McLaughli

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01980 AWARD In the Matter of the Arbitration Between George Kleback, Jr. Claimant vs. Michael Yarbrough A.G. Edwards & Sons, Inc. Respondents CASE SUMMARY Claimant George Kleback, Jr., in a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1990, alleged that Respondent and broker, Michael Yarbrough while employed at A.G. Edwards & Sons, Inc.

In the Matter of the Arbitration Among Lorenzo Morello Julie Morello Claimants vs. AWARD #90-01977 Prudential Securities, Inc. Christopher F. Roach Respondents Heard Beforet Joseph R. Papo Industry Arbitrator Ralph J. Sirlin Public Arbitrator Edward C. Pedersen Public Arbitrator REPRESENTATION Claimants, Lorenzo and Julie Morello ( "Morellos"), were represented by Anthony V. Trogan of Weisman, Trogan et al. Respondents, P

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Henry Kaye Claimant vs. Prudential Securities, Inc. Respondent AWARD Case #90-01976 CASE SUMMARY Henry Kaye, represented by A. Grant Bohl, Sarasota, Florida, in a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1990, alleged that Respondent failed to meet the obligations of a fiduciary relationship, did not reco

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-04814 Universidad Politecnica de Puerto Rico Names of the Respondents Hearing Site: Boca Raton, Florida R.K. Grace & Company a/k/a and/or d/b/a R.K. Grace & Company, Inc. and Roberto Luis Perez REPRESENTATION OF PARTIES For Universidad Politecnica de Puerto Rico ("Claimant"): Ramon E. Davila-Carlos, Esq., Bauza & Davila, Old San Juan, P

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASO Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Name of Claimant Dong Ku Lee vs Name nf 90-01962 Wellshire Securities , Inc. William Ross George Cooper Michael Howard Heard before: Mama Dora M. lassinger Public - Robert L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Ccomonwealth Publishing Co., Inc. 90-01S60 Name of Respondent (s) Planners Securities Group, Inc. John A. Reilly For Claimant: Personal Representative Cord Stehr of Boston, Massachusetts For Respondent: Angela Msrin, Esq. of Gushing and Morris in Atlanta, Georgia CASE Statement of Claim filed: July 16, 1990 Claimant

N.A.S.D, -AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Robert W. and Barbara A. Yarger /' •/'(" 90-01959 / \Ur Name of Respondent^ IDS Financial Services, Inc. Mitchell Keil Janet Mabry In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 16, 1990, Claimants Robert W. and Barbara A. Yarger ("Claimants") alleged that Re

SSOCIATIC:: or oEcuH.iTi£3 -LALF^S, :NC Matter of the Arbitration d J . Buckley -en Lehman Hutton, Inc. n/k/a son Lehman Brothers, Inc. Federowicz .s Sanderson Respondent? Pro ~Se Claimant Mildred T aucklev . ir a c.< .•,*.•»• . - wi.:- "h . Association of Secur* t.ies* Deei-urs, .rnc -r: • .6, ' - that Respondent Shearsrr* Le^uaar, HuV;nr*. *;;c -:ac/ n I.ehiaan Brothers, 1/iv . ^c cru.' u .t:c=- for "v 1 ...:• -u:v