NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between F. Gil and Victoria J. Renneckar Claimants vs. First Alliance Securities, Inc. Jeffrey J. Provissiero Will Lincoln Robert A. Hartnagel Calvin Lee Word Sandra Bergin-Vacho Respondents CASE* 90-01072 Heard before: William H. Malloy, Jr. f Esq. K. Douglas Potter Richard E. Lauziere Public Arbitrator Industry Arbitrator

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the totter of the Arbitration Betwfeen ) Name of naimantfg) ) ) Ilva Osorio & Ilva Campagna Name of Rasfnnrfcml- f g Bill Richardson Greg Hawke Mike Malyneux Dave Holland Case No. 90-01069 For Claimants, Ilva Osorio ("Osorio") and Ilva Campagna ("Campagna"): Andrew C. Barnard, Esq. of Andrew C. Barnard, P.A. For Respondents, Bill Richardson ("Richardson"), Greg Hawke ("

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between G, William Jewell Claimant(s) vs. 90-01062 Pace Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant (s) G. William Jewell alleged that Respondent (s) Pace Securities failed to follow Claimant's instructions, which were to execute the purchase of certain securities on an "all or none" basis. Respondent denies that the ord

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Frank M. Timothy Claimant(s) vs. 90-01059 Shearson Lehman Hutton, Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Frank M. Timothy alleged that Respondent(s) Shearson Lehman Hutton, Inc. through its registered representative, advised Claimant to sell certain securities for a tax loss but failed to advise Claimant of the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rick Tripi, (Claimant) vs. Prudential Securities Incorporated, (Respondent) Case Number: 00-04760 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Rick Tripi, hereinafter referred to as "Claimant": Neal Brickman, Esq., Law Offices of Neal Brickman, New York, NY. Respondent, Prudential Securities Incorporated, hereinafter referred to as "Respondent": Dom

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant ERACQRP PENSION & Profit Sharing Trust 90-01055 Name of Respondent Drake Capital Securities, Inc. Barbara Crcwley QF ERACQRP Pension & Profit Sharing Trust was represented by Ronald H. Groth, Esq. of Thomson, Moran & Groth, Ltd., Minneapolis, Minnesota. Drake Capital Securities, Inc. was represented by Sally J, Whiteside,

N.A.S.D. AWARD ASSOCTATICN OF SECURITIES In the Matter of the Arbitration Between Of C Camilla Louise Muriby 90-01054 of ReSPnnrtemt (3) PaineWebber Incorporated Richard P. Staley Doug Hall For daimant: Camilla Louise Muriby appeared pro se. For Respondents: PaineWebber Incorporated, Richard F. Staley and Doug Hall were rgprggented by Steven M. Greenbaum, Esq. of PaineWefcber Incorporated, Miami, Florida. CASE Statement o

ASSOCIATION OF SECURITIES DEALERS, INC>_ ln"the Matter of the Arbitration Among George and Mary Cicero, Giuseppe and Silvana Cicero, Carmine and Rose Danio f John J. and Gloria Dolmat Claimants AWARD vs - #90-01053 Emanuel and Company, Eric Emanuel, Neal Scott Respondents Heard before: Michael J. Shalley Public Arbitrator Richard H. Rosenblum Public ^^rator Barbara J. Glenns Industry Arbitrator CASE SUMMARY

N.A.S.D. ANAFD NKTIONRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between George S. & Deborah M. Gottlieb Name Of Ttegrvi»rteni-;g| Thomas Lonergan In a claim filed with the National Association of Securities Dealers, Inc. ("NRSD") on April l f 1990 r Claimants George S. Gottlieb and Deborah M. Gottlieb alleged that Respondent Ttanas Lonergan misrepresented or failed to disclose the value of "penny" stocks in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfatter of the Arbitration Between ) ) Name of Jack Friedlander, as Trustee for Jack ) Friedlander Trusts #2 and #3 ^ ) Lois Nichamin as Trustee of the ) Lois Nichamin Revocable Living Trust ) Larry Nichamin, as Trustee for the ) Larry Nichamin Trust ) Name of Respondent ( si ) ) Margaretten Securities Corporation ) James Ira Michelson ) Ellen Margaretten )