N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Barovich and Barovich Associates, Inc. Claimants and 90-01641 Shearson Lehman Button p Inc. and Michael E. Watts Respondents REPRESENTATION Of PARTIES Claimants were represented by Gary J. Ceriani, Esq. and Michael P. Cillo, Esq. of Davis & Ceriani, P. C. r Denver, Colorado. Respondents were represented by Harry T. Walt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jacqueline Quiros Gould and Edward Gould, (Claimants) vs. First Montauk Securities Corp., Ty Rodriquez, and Paul Giarrnoleo, (Respondents) Case Number: 00-04795 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Jacqueline Quiros Gould ("J. Gould") and Edward Gould ("E. Gould"), hereinafter collectively referred to as "Claimants": Brian J. Neville, Esq., Law

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Edwin B. and Janet W. Bransome Claimants vs. South Richmond Securities, Inc. Respondent Case *9C-01639 AWARD CASE SUMMARY Dr. Edwin B. and Janet W. Bransomer, in a claim filed with,.the National Association of Securities Dealers, Inc. on June 11, 1990, alleged that they purchased one thousand shares of Morse Boulger International Corporation

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charlotte Soleski Claimant vs. 90-01637 Randall C. Schakner, Gerald A. Horwitz and Horwitz, Schakner & Associates, Inc. Respondents REPRESENTATION OF PARTIES Claimant Charlotte Soleski was represented by Ralph A. Weber, Esq. of Kravit, Lammiman & DeBruin S. C., Milwaukee, Wisconsin. Respondent Randall C. Schakner was represented by Jame

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harry Haldt Claimant f s) NOTICE OF ARBITRATION AWARD 90-01632 David Kippins and Financial Clearing and Services Corp. Respondent(s CASE SUMMARY s) Harry Haldt alleged that Respondent(s) David Kippins and Financial Clearing and Services Corp. ("FICS") made an unauthorized trade in his account and asks that Respondent Financial Clearing and

N.A.S.D. AWARD Ni'JICNAL ASSOCIATION OF SECURITIES DEALERS In the ^fetter of the Arbitration Between Patrick & Mary Allen 90-01628 Name of Respondents Integrated Resources Equity Corp. Royal Alliance Associates, Inc. and Frances Iwiddy car PMITTPS Patrick and Mary Allen were represented by James J. Maylan, Esq. and Bonnie L. Macfarlane, Esq. of James J. Moylan and Associates, Ltd. , Chicago, IL. Integrated Resources Equity Corp. and

0 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between)" Nama of dlaimant(s) ) Edward H. Scarpitti ) Name of- Oppenheimer & Co . p Inc . Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 ) Case No. 90-01616 Heard before the members of the Arbitration Panel: George Felos, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Joan Goldberg and Joan Goldberg as Custodian FBO of Stuart Goldberg and Joan Goldberg Custodian FBO Joshua Goldberg Award #90-01612 vs. Joseph A. Hopkins, III and Financial Clearing & Services Corp. CASE SUMMARY Claimant alleged that Respondents purchased securities for her account without authorization with proceeds from the sale of another

Arbitration JJ.A.y.1). AWAWIJ ~~ National Association of _ Securities Dealers, Inc. NAHCNAL ASSOCIATICN OP SECURITIES DEALERS NASD Financial Center _ 33 Whitehall Street In the Matter of the Arbitration Between New York ' N « w York 10004 Name of Roger Prisch 90-01606 Name of Respondent < s) M.J. Whitman & Co., Inc. Claimant appeared pro se. For Respondent: Terry D. Weissman Esq. of Kramer Levin Nessen Kamin &

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norman J. Dinkel 90-01603 Claimant vs. Prudential Bache Securities, Inc. Michael Kirkpatrick Respondents OATH AND AWARD OF ARBITRATOR Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or ' relat