N.A.S.D. AWMZD NKTICNAIi ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of daiTnant Herbert Kbshgarian 90-03136 Q£ First Fidelity Capital Corporation John lattierre Claimant was represented by Michael Wasserman, Esq. of Howard Mardell, Ltd., Chicago, Illinois. Respondents did not appear* case Statement of m^» filed on or about Novenber 13, 1990. Claimant's Sufcmission Agreement signed on Nbwentoer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carl R. and Msredith M. Faix 90-03190 Janney Montgomery Scott, Inc. Earl B. Marks For Claimant: John E. Corbett, Esq. For Respondents: Richard S. Israel , Esq. of Archer & Greiner. TWPTRMKEIQN Statement of Claim filed: November 12, 1990. Claimants' Submission Agreement signed: November 6, 1990. Statement of Answer file

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE I90-&J181 AHARD In the Matter of the Arbitration Between Bateman Eichler, Hill Richards, inc. Claimant vs. Paul Justi Respondent CASE SUMMARY Bateman Eichler, Hill Richards, Inc., in a claim filed with the National Association of Securities Dealers, Inc. by Brian K. Lowe, Associate Vice President of Bateman Eichler, Hill Richards, Inc. on November 9, 1990, alleged that Respondent

NATIONAL ASSOCIATION OF"SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Steven H. Dunkleberger Claimant vs. CASE #90-03179 AWARD G.K. Scott & Co. Phil Mullan Respondents CASE SUMMARY Pro Se Claimant, Steven H. Dunkleberger, in a claim filed with the NaticiXAl Association of S^rurJ t* !•*»*— n< ?^l< ars , Inc. on November 9 • 1.99.0-. alleged... that Broker,. G ..&.... ,Scott_j5t Co,.,,. Inc. through JLts registere

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: I. Lewis Gordon, (Claimant) vs. Josephthal Lyon & Ross Incorporated and Joyce B. Docktor, (Respondents) Case Number: 00-04564 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, I. Lewis Gordon, hereinafter referred to as "Claimant": Michael J. Roberts, Esq., Roberts & Roberts, New York, NY. Respondents, Josephthal Lyon & Ross Incorporated n/k/a Josephthal

- N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant:fs^ ) ) Nicholas Dale Mostert ) ) ) Case No. 90-03177 ) Mams of Resipondentrsl ) } Christopher Kane ) H. Turney Fletcher ) Thomas Bare, II ) Claimant , Nicholas Dale MDstert ( "tfostert " ) was pro s&. Respondents, Christopher Kane ("Kane"), H. Turney Fletcher ("Fletcher") and Thomas Bare II ("Bare

N.A.S.D. AWARD _ NmGNAL ASSOCIATION,OF SECURITIES DEMJ3RS In the Matter of the Arbitration Between Name of Plalmantg Dcminic & Clara Colletto 90-03176 J.C. Bradford & Co. OF PftRL'lKS Dcminic & Clara Colletto ware represented by Michael A. Mayer, Esq. of Settles, Centos, Barrett & Sidwell, Nashville, TO. J.C. Bradford & Co. was represented by James T. Ritt, Esq. and James G. Davis, Esq. of J.C. Bradford & Co., Nashville, TO. In a stateme

N.A.S.D. AWARD NATIOffiL ASSOdATICN OF SECURITIES DEALERS Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration. Between Name Of Daniel J. Cruoglio vs. Name of Respondents William Hayde Anthony Fezzuzzi Anthony J. DeStefano Anthony J. Stoisich Case # 90-03172 For Claimant: Philip Leone,

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Name of Irene W. &x>re 90-03161 Name of Stuart Janes Company, Inc. Claimant Irene W. Moore appeared DTP ge.. Respondent The Stuart-James Company, Inc. was represented by Counsel Christa D. Taylor, Esq. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 6, 1990, Claimant I

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeaniene I. Fyllingness Helen I. Richards Claimants vs . Sacks Investment Company, Inc. Robert Vallier Richard Sacks Melvin Simons Respondents CASE #90-03156 AWARD CASE SUMMARY Jeaniene I. Fyllingness and Helen I. Richards, in a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1990, alleged tha