N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter cf the Arbitration Between Clavidia M. Snith Goldnan, Sachs & co. Richard Atlas 90-03639 For Claimant: R. Carlton Seaver, Esq. For Respondent Golcbnem, Sachs & Co.: Stephen P. Pepe, Esq. and Mia E. KLein, Esq. of O'Melveny & Myers QSJlBBSBaSM statenent of Claim filed: Decenter 28, 1990 Claimant's Sutrnission Agreemant s^ed on; December 13, 1990 Statement cf Ansvrer

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in tne iviatter ot tne ArJoitration Between ) Prudential-Bache Securities, Inc. Claimant vs . Phyllis A. Johnson Respondent AWARD NASD #90-03630 REPRESENTATION Claimant was represented by Denis, J. McCarthy, Esq., Prudential Securities, Inc., New York, New York, Respondent represented herself. SUMMARY OF ISSUES Claimant alleged Respondent breached the terms of an employment agree

A u '3 — 3 — :Z r-1 in h4 ). e- z -2: T h-i F' r-1 I t_ t_ E: P NATICNAL ASSCCIATIC:.' 07 5EC-*?.ITZ2S r£Al-IRS, I^^C. :n Che Matter c£ Arbi-i-^ticn 2ecv;etin Stevsr- ?av.l KQlt, M) vs. Allied CapiLcl Ccrp, Ronald Ekasala CASE TT3C-03532 AWARD CA5F S-JVMARY In a clain filed with che N'arionai Aasocia'ior. cf Securiii = s Sealers, Inc. cn December 20, 1990, Claimant: Sceven laul Hol'c, MD who appeared ?rc Se, alleged tha

N.A.S.D. AWARD NATIONRL ASSCriATION OF SECURITIES DEALERS In the ]Vfelfer of the Arbitration Betvreen Name of Claiinant Francis J. Palo 90-03577 First Fidelity Capital Corporation and Robert Catoggio Heard before: D. Joan Sanpieri FUbic Arbitrator Claimant was represented by James R. PicciaJTO, Esq. •fliis claim was initiated by a Statanent of Claim filed with the ISfefcnd^ Association cf Securities Dealers, Inc. ("NASD") on December 12, 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. mmmmmmmmmmmmm»mmmmmmm»mmmmmmmt%»mm' '3 In the Matter of the Arbitration Between ^' f \ John Joseph III ' CLainmnt CASE #90-03564 vs . A^CARD J.W. Gant & Associates, Inc. Grant Moore Respondents : CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 18, 1990, Claimant John Joseph 111, who appeared Pro Se, alleged that Respondent

Arbitration ® November 07, 1991 National Association ot Securities Dealers, Inc. One East Broward Boulevarcl Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Robejtrt Wayne Pearce, Esq. Lerner, Harris & Pearce 2888 East: Oakland Park Blvd. Fort I^uderdale, FL 33306 Subject: I^IASD Arbitration Number 90-03461 Kafael Golan vs. A.G. Edwards & Sons, Inc Dear Mr. Pearue: 1 In accordance wit^ the NASD Code of AriDitrat

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William Virginia Maloney Claimants CASB #90-03455 First Fidelity Capital Corporation Respondent : w • • « CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 6, 1990, Claimants, William .i 'Jirginia Maloney, who appeared Pro Se, alleged that Respondent; First Fidelity Capital Corporation

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASB #90-03349 ANABD In the Matter of the Arbitration Between PaineWebber, Inc. Claiinant vs. William J. & Sandra M. Newicirc Respondents CASE SUMMARY In a claim filed with the National Association of Securitie Dealers, Inc. on November 27, 1990, Claiinant, PaineWebber, Inc. b and through their in-house counsel Joel E. Davidson, Esq., allege that Respondents William J- & Sandra M, New

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Lorello and Rose Ann Lorello, Joseph Lorello C/F Vincent Lorello UGMA/NY, Rose Ann Lorelio IRA, and Joseph Lorello IRA (Claimants) v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and William P. Loftus (Respondents) Case Number: No. 02-04535 Hearing Site: New York, New York Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between • Constance Carter Grant • Claimant • vs . CASE 190-03336 AWARD PaineWebber, Inc. Mary Hansen • Respondents mmmmmmm»mmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmmm CASE SUMMARY Constance Carter Grant, represented by James G. Jones, Esq. of Knapp, Marsh, Jones & Doran, Los Angeles, CA, in a claim filed with the National Association of Securities