NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Teletest Corporation Claimants ) Sylvester Hilleary Williams ) Case ?87-01289 ) vs. ) Award Monarch Funding Corporation Leo Eisenberg Michael Eisenberg Respondents ) On August 3, 1988 and May 5, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimants Sylvester Hille

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mark W. Alford Claimant(s) vs. 87-1195 Kennedy/ Cabot & Co./ Merrill Lynch/ Pierce, Fenner & Smith Inc. Respondent(a) AWARD The Arbitrator, Larry J. Dagenhart, Esq., having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a submission to arbitration signed by Mark Alf

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Maxine G. White Claimant ) vs. ) AWARD Thomas F. White & Co., Inc., Respondents James Hankoff, Stuart Newmeyer, and American Capital Marketing, Inc. CASE NO. 86-01418 Heard Before the Arbitration Panel: George M. Wiener SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on September 17, 1986. C

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ming K. Louie Claimant(a) vs. 87-1105 Olde Discounte Stockbrokers Respondent(s) NOTICE OF ARBITRATION AWARD The Arbitrator, Larry J. Dagenhart, Esq./ selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents/ set forth in a submission to arbitration signed by the parties on June 16, 1987 and Septembe

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Region P — *—• in the Matter of the Arbitration Between Kenneth Lang Claimant Case #87-00853 vs. Award Quick & Reilly, Inc. Robert Bott Respondents The undersigned, being the Arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in submissions to arbitration signed by the parties on May 15, 19

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles Killian Claimant(s) vs. Brever Capital Corp. & Steve Rozinski. Respondent(s) AWARD 87-00027 The Arbitrator, John W. Jerak, having been selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents f set forth in a submission to arbitration signed by the parties on December 12, 1986 and Ju

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Doug Paul Claimant(B) vs. 85-01399 National Discount Securities Corp., Jim Famularo and Mark Rattner Respondent(a) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Doug Paul alleged that Respondent(s) National Discount Securities Corp., Jim Famularo and Mark Rattner made misrepresentations. Respondent (s) did not respond. RELIEF REQ 1

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Byron B. Woertz and Edith Woertz vs. Claimants Securities Settlement Corporation Spear, Leeds & Kellogg Securities, Inc. vs. Kennedy Cabot & Co., Inc. Respondents AWARD #86-00049 The undersigned, being the arbitrator selected to review and determine a matter in controversy between the above-mentioned Claimants and Respondents as set forth in sub

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Annette Ford Claimant ) Case #87-00573 ) vs. ) Award ) WZW Financial Services, Inc. Swinton B. Burkhalter Landsing Capital Corporation Respondents On April 26, 1989, the undersigned arbitrators heard the controversy between the parties as set forth in submissions to arbitration signed by Claimant Annette Ford, and by Respondents WZW Financial Se

Region L? \J4^ Volume ^ r Number/ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between ) STUART E. WARREN, JR. et al. ) Claimants ) E.F. HUTTON & CO., INC., PRUDENTIAL ) NASD No. 87-00464 BACHE SECURITIES, INC. and CHARLES ) GREENBERG ) Respondents ) Case Summary The original statement of claim was filed with the NASD on March 6, 1987 by Sussman and Samson, Ltd. ("Sussman") on behalf of Stuart