Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-04701 John Boughal Name of the Respondents Hearing Site: New York, NY CffiC World Markets Corp. Montrose Capital Management, Ltd., John Cristian Ferraro John David Telfer Vivek K. Verrna REPRESENTATION OF PARTIES Claimant John Boughal ("Claimant") appeared pro se. Previously represented by Ralph Gant, Esq., New York, NY. R

New York Stock Exchange In the Matter of Arbitration Between NYSE Case; PaineWebber, tncorporaied v Joseph Shagrin, Jr. and Shearson Lehman Broihers, Inc. Attorneys: ForCMmfll(4: Anthony J. Harttnan Esq, - Cleveland, OH For noHwndcnKe): Kevin J. O'Brien Esq. - Dayton, OH Date Filed: 04A»«3 Rrst Scheduled: 04/2f/ea Decided: 4/22/93 Case Summary: daimant, a member firtn, alleges respondents, a branch manager and member ikm, engaged in unfa

New York Stock Exchange In tlie Matter o£ Arbitration Between NYSE Case; ."rudential Socurifciea, Inc., Bnee Barron, Anthony J. Parr end Carol Oaro y ,'*ip8r Jaffray, Inc ftttornsys: For Cl8iaanfc< s>: Lhomaa ,1. Caapbeli Esq. - Hen York, N Y For KB9PUIR1BR(^S): Joseph ftnt,*s!r;y Esq. - Kinn., ,1N Date Filed: 0^,'07,''93 First Sciieduied; 0VW/'93 Decided: 0*,''15/93 Cese Suaaary: The individual ClaisiBnts seek a dsclaraticn that they

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: carmen Gonzalez, Efrain Gonzalez, Sergto Gonzalez, and the Estate of Rene Gonzalez v Eppler, Guerin & Turner, Inc. Attorneys: For Claimanfs): Thomas G. Sharpe, Jr. Esq. - San Antonn, TX For Reapondanft): Steven T. Baron Esq. - Dallas, TX Date Filed: 04A)6/93 First Scheduled: oa/io/ss Decided: O8/19/93 Case Summary: claimants allege Respondent was negligent in advisin

New York Stock Exchange NYSE m the Matter of Arbitration Between Case: Edward 0. Woehr v Dean Witter ReynoMs, Inc. Attorneys: For Claimanfs): Edward C. Woehr - Undenhurst., NY For Reapondatil(s): Edward W. Larkin Esq. - New York, NY Date Filed: 03/29/93 First Scheduled: 08/20/93 Decided: 03/20/93 Case Summary: Oalmant alleges that Respondent failed to timely execute a transactnn which resulted in a loss. Product: Market: Claim Data Award Dat

^- New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Paneuram Holdings Ltd. v. Prudential Securities Inc. and Charles Campbell Attorneys: For Claimant's): Kurt Schneider - FRANCE. For Respondent's): Paul M Waldman Esq. - New York, NY Date Filed: 03/22/93 First Scheduled: 09/21/93 Decided: 09/21/93 Case Summary: customer v member firm and registered representetlve alleging failure to follow instructions to invest

New York Stock Exchange In the Matter of Arbitration Between 6^- NYSE Case: Wllllard H. Peschler v. Kidder, Peabody & Co. Inc. Attorneys: For Claimanfa): Willlani H. Peschler - ML Ariington, NJ For Respondent's): David Rivera Esq. - New York, NY Date Filed: 03/19/93 First Scheduled: 09/14/93 Case Summary: Claimant alleges that Respondent made unsuitable investments for his IRA In the American Income Partners (AlP) Fund. Produ

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Robert L. Brisotti, Jr. v. Tucker Anthony Incorporated and John Hancock Mutual Insurance Corporation Attorneys: For Claimant's): Joseph W. Prokop Esq. - East Seteuket, NY For Respondent's): Lloyd Clareman Esq. - New York, NY Date Filed: 03/16/93 First Scheduled: 11/17/93 Decided: 11/18/93 Case Summary: claimant alleges respondents made various intentional misrepresen

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Oscar Merker Trust, by Lothar Klestedt, Trustee vs. Prudential Bache Securities Attorneys: For ClainKint(s): AMn M. Feder Esq. - New York, NY For Respondent's): John N. Camperlengo Esq. - New York, NY Date Filed: 03/29/93 First Scheduled: 10/26/93 Decided: 11/23/93 Case Summary: Customer vs. Member Firm alleging unsuiteble and unauthorized purchases of Cable TV Fund

New York Stock Exchange In the Matter of Arbitration Between (.. NYSE Case: Anthony Rosa v Charles /\ngell and Shearson Lehman Brothers, Inc. Attorneys: For Claimant's): Anthony Rosa - Wantagh, NY For Respondent's): Ann Parry Esq. - New York, NY knn Parry Esq. - New York, NY Date Filed: 03/26/93 First Scheduled: Decided: 11/12/93 Case Summary: Claimant, a customer, has alleged that respondents caused him to incur losses In numero