NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Enrna Grande Claimant vs. Greystone Nash, Inc. Respondent Case #90-01473 AWARD CASE SUMMARY Emma Grande, in a claim filed with the 'National Association of Securities Dealers, Inc. on May 22 , 1990, alleged that various representatives of Respondent, Greystone Nash, Inc . , solicited stock purchases from her that were listed on the confirmation

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert F. Ellerbe and Scotty L. Ellerbe v. Raike Financial Group, Inc., and Steven Messina Case No: 00-04774 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Robert F. Ellerbe and Nicholas D. Thomas, Esq. Scotty L. Ellerbe Raleigh, North Carolina ("Claimant") For Raike Financial Group, Inc. Ruthann G. Niosi, Esq. ("Raike") Law Offices of Ruth

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mary PapaJohn Harris Alice PapaJohn Claimants vs. John Reed, Michael Graziano, Brian O'Keefe and Citicorp Financial Services : Respondents CASE 490-01467 AWARD CASE SUMMARY Claimants Mary Papajohn Harris and Alice Papa John r in a claim filed: with the National Association of Securities Dealers, Inc. on May ?3 , 1990 , alleged th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between : •• Ann and Wayne Steinart s Agnes C. Hayman • • Claimants : CASE #90-01464 vs. : AWARD Allied Capital Group Philip Jay Cooper Respondents CASE SUMMARY Pro Se Claimants Ann and Wayne Steinart and Agnes C. Hayman, in a claim filed with the National Association of Securities Dealers, Inc. on May 23, 1990, alleged that Respondent Philip Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ri Theodore and Bella Ruderman 90-01459 Name of Respondents Shearson Lehman Hutton f Inc. (n.k.a. Shearson Lehman Brothers , Inc . ) and Lou Provenzano For Claimant: Richard Slavin, Esq. of Cohen and Wolf, P.C. For Respondent: William Ifohauser, Associate General Counsel, Shearson Lehman Brothers, Inc. Statement of Claim

M.A.S.D. AWARD Arbitration •< *> NOTIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between - Name of Claimant 2oe M. Tillson vs Name of Respondents Donaldson Lufkin & Jenrette Securities Todd Kanter Mark H. Fiskio National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 90-01457 Heard before the members of the Arbitration Panel:

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National Association of Securities Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 100C James A. Lanier, Jr. Name of Respondents Wheat: First Securities, Inc. Leon E. Walker, Jr. 90-01450 For Claimant, Janes A. Lanier, Jr. ("Lanier"): William R. Shell, a sole practitioner. For Respondents, Wheat First Secu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f90-01447 AWARD In the Matter of the Arbitration Between Dorothy M. Baker, Personal Representative of the Estate of Barton B. Baker Claimant vs. Otra Clearing, Inc. Respondent CASE SUMMARY Dorothy M. Baker, in a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1990, alleged that Respondent Otra Clearing, Inc. was negligent in transferring DMI st

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert F. Ellerbe and Scotty L. Ellerbe v. Raike Financial Group, Inc., and Steven Messina Case No: 00-04774 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Robert F. Ellerbe and Scotty L. Ellerbe ("Claimant") For Raike Financial Group, Inc. ("Raike") Steven James Messina ("Messina") Nicholas D. Thomas, Esq. Raleigh, North Carolina

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Paul Revere Variable Annuity Insurance Company, UNUM Provident Corporation, The Provident Life & Accident Company, The Paul Revere Corporation, The Paul Revere Life Insurance Company and The Paul Revere Protective Life Insurance Company, Claimants v. Arthur F. Zang, Jr., Respondent. Case Number: 00-00495 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claima