N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimantfs') Stanley Oik 94-05575 ResDondentfs> Smith Barney Shearson, Inc. Leo E. Rish^ For Claimant, Stanley 01k ("Claimant"), appeared Steven M, Kramer of die firm Steven M. Kramer and Associates located in New York, N.Y. For Respondents, Smith Barney Shearson, Inc. ("SBS") and Leo Rishty ("Rishty"), collectively ("Respondents"), a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Zane A. Mars, individually, and Eric B. Lake, as Trustee of the Zane A. Mars Trust v . 01-06422 Denver, Colorado Respondents Royal Alliance Associates, Inc., Lou R. Mortellaro, Investment Developers, Inc., d/b/a Lou Mortellaro & Company, Inc., Michael M. Katz and Katz, Look, Moison, P.C. and Cross Claimants Royal Alliance Associates, Inc.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tiie Matter of tiie Arbitration Between NameofClaittiant Lorenzo Bellocchio and Name of Respnu^pnt L.C. Wegard & Co., Inc. Malek Tawil 94-05527 Lorenzo Bellocchio ("Claimant") was represented by Thomas F. Quimi, Esq., Jones & Keller Denver, Colorado. ' L.C. Wegard & Co., Inc. ("Respondent Wegard") and Malek Tawil ("Respondent Tawil") were represented by Brian Reis, Esq., Be

AWARD NASD Regulation, Inc. OfRce of Dispute Resolution In the Matter of the Arbitration Between Barbara J, Lindell, Cynthia L. Nordberg, and Sandra Lindell Claimants, V. No: 94-05539 Waddell & Reed, Inc., and Douglas Hedley Respondents. REPRESENTATION QF PARTIES Claimants Barbara J. Lindell, Cynthia L. Nordberg, and Sandra Lindell (sometimes referred to as "Claimants") were represented by Vittorio E. Porco, Esq. of McGinty, Jakubiak,

NASD Arbitration No. 94-05547 N.A.S.D. AWARD NATTOMAT. A.S.qnnATTnN OF •tFrTTPTTTC.q nPAT .T7R.< ;, TNP In the matter of the Arbitration Between Name nf riflimant Wendy 0. Hobson Namft f>f RftispnnHent Robert Scott Securities, Inc. REPRFSKNTATTinN For Claunants: John J. Stanton, Esq., Ontario, California For Respondent: No appearance TASF. TNFnPMATTr^M Statement of Claun filed: December 2S, 1994 Claunant's Submission Agreement

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ~ " Name nf riflimnt^i Gerald Kanter and Rochelle Kanter and Name nf Re^p(^n^1?m Gruntai &. Co., Inc. Arthur Shievitz 94-05551 rON OF PARTjf^.S! Gerald Kanter and Rochelle Kanter ("Claimants") were represented by Paul J. Sussman, Esq Chicago, Ilhnois. Gruntai & Co. Inc^("Respondent Gruntai") and Arthur Shievitz ("Respondent Shievitz") w

.1 •• " N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Helene Sandra Myers 92-02787 Name of Respondent Janney Montgomery Scott Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 19, 1992, Claimant Helene Sandra Myers, who appeared Pro Se, alleged that on March 15, 1991 she closed her ERA account with Mellon PSFS Bank at

N.A,S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERi In the Matter of the Arbitration Between Name of Clain^j^qi Susan Fradin 92-02614 Name of Resnoi^ritjjn^ Crown Financial Associates For Claimant, Susan Fradin ("Fradin"): David Friedbei?. For Respondent, Crown Financial Associates ("Crown") T. Westrav Battle Jr Esq.: of Crown Financial Associates. ^ ' CASE INFORM^T^ov 2'r!'9^^' ^""""^ ^^"^"^ Respondent's statement of Answer fded

N.A.S.D. AWARD NATIONAL ASSOCLVTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Francis A. & Beverley A. Mercier 95-02594 Name of Respondents Titan Capital Corp. Dale F. Jackson Frank L. King CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 30, 1995, Claimants Francis A. ("Francis Mercier") and Beverley A. Mercier ("Beverly Mercier"), who appeared Pro Se,

A, N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ille Kushnerenko 95-02884 Nicole Francis Chemical Investment Services Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 14, 1995, Qaimant Uie Kushnerenko ("Claimant"), who appeared Pro Se, alleged that Respondents Chemical Investment Services Corp. ("CIS") and Nicole Fran