N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Reginald B. Smith 94-01240 Name of Respondents Invest Financial Corp. Stephen Michael Angelis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 5, 1994, Claimant Reginald B. Smith, who appeared Pro Se, alleged that Respondent Stephen Michael Angelis of the Respondent firm Inves

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William & Florence Rosenblitt 94-01239 Name of Respondents Fidelity Investments CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 51, 1994, Claimants William & Florence Rosenblitt, who appeared Pro Se, alleged that on December 26, 1993 they placed an order with Respondent Fide

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sheila H. and Guy B. DiAmbrosio 94-01236 Name of Respondents Escalator Securities Inc. Howard A. Seala REPRESENTATION For Claimants Sheila H. and Guy B. DiAmbrosio ("Claimants"): Guy B. DiAmbrosio For Respondents Escalator Securities, Inc. ("Escalator") and Howard A. Scala ("Scala 11 ): Edwin Kagan, Attorney at

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant John Sabo Case Number: 01-3002 Name of the Respondent Hearing Site: New York, NY Tucker Anthony Incorporated REPRESENTATION OF PARTIES Claimant, John Sabo ("Sabo"), hereinafter referred to as "Claimant": Ruthann G. Niosi, Esq., Law Offices of Ruthann G. Niosi, New York, NY. Previously represented by Jeffery L. Liddle, Esq., Liddle & Robinson, L.L.P., New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between e of (Tlnant Claus Mueller NASD Arbitration No.94-01234 Name of Respondent Shearson Lehman Brothers Randall Buchanan REPRESENT4TTON For Claimant: Roy G. Brewer, Esq., Seattle. Washington For Respondent: John Bevilacqua, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: March 31, 1994 Cl

„ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sheldon B. and Marcia Lantinberg Case No. 94-01223 Name of Respondents Royce Investment Group, Inc. Royce Kanofsky John Aituro Marciano -• • REPRESENTATION For Claimants, Sheldon and Marcia Lantinberg ("Lantinbergs"): George E. Ridge, Esq. of Kent, Ridge & Crawford, Jacksonville, Florida. For Respondents, Royce I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e o Ctt Robert and Ellen T. Olt Case No. 94-01222 Name of Respondents Charles James Givens, Jr. James Lawrence Paris Brent Jeffrey Cozlin Delta First Financial, Inc. The Charles J. Givens Organization For Claimants, Robert Olt and Ellen T. Olt ("Oils"): Neal J. Blaher, Esq., Orlando, Florida. For Respondents, The Charles J. Givens O

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC In the matter of the Arbitration Between Name of Claimant Earl Leroy Schriver, Jr. NASD Arbitration No.94-01221 Name of Respondents Merrill Lynch & Co., Inc. Merrill Lynch Life Agency, Inc. Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: James A. Cathcart, Esq., Bonneville, Viert, Morton & McGoldrick, Tacoma, Washington For Respondents: Eric D. Lans

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas Arcuik 94-01220 Name of Respondents PaineWebber, Inc. Thomas Reichert REPRESENTATION For Claimant: Dan Brecher, Esq., of Law Offices of Dan Brecher, located in New York, New York. For Respondents: Evan J. Charkes, Senior Litigation Counsel of PaineWebber, Inc., located in Weehawken, New Jersey. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name Joan E. Brown NASD Arbitration No. 94-01218 Name of Respondents Russell Young and Robert Scott Securities, Inc. REPRESENTATION For Claimant: Jeffrey L. Gaffney San Diego, California For Respondent Russell Young: Russell Young, Pro Se Laguna Niguel, California For Respondent Robert Scott Securities, Inc.: Nicholas Ellis