N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf s) Prudential Securities Inc. 93-02206 of JRespondentfs't Golden Capital Management, Inc. REPRESENTATION For Claimant Prudential Securities, Inc.: David W. Schmidt, Esq., and David Simon, Esq. of the law firm of David W. Schmidt, New York City, NY. The Respondent did not attend the hearing. CASE INFORMATION Statement o

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02878 Arnold Gussoff, claimant vs. Quick & Reilly, respondent. ATTORNEYS: Claimant appeared Pro Se, White Plains, NY. For Respondent, Samantha E. Kefford, Esq., in-house counsel, New York, NY. DATE FILED: May 31, 2001 CASE SUMMARY: Claimant alleged that respondent charged an excessively high execution price for his Delta bond purchase. Claim Data Award Data Claim: $1,537.50

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Francis W. Winn and 93-02205 Name qf Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Charles D. Kirkham, Jr. REPRESENTATION OF PARTIES Francis W. Winn ("Claimant") was represented by Charles Michael Gray, Esq., Gray & Thomas, Dallas, Texas. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Charles D. Kirkham, Jr. ("

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Guillermo Perales and 93-02199 Name of Respondents Prudential Securities, Inc. and Henry Karnes PAttTTFS Guillermo Perales ("Claimant") appeared pro se. Prudential Securities, Inc. ("Prudential") and Henry Karnes ("Karnes")(coHectively as "Respondents") were represented by Donald R. Littlefield, Esq., Prudential Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl Joseph Lanzisera NASD Case No. vs. 93-02176 Name of Respondent Steve F. Miller, Jr. REPRESENTATION Claimant, Carl Lanzisera ("Claimant"), represented himself at the hearing. For Respondent, Steve F. Miller ("Respondent"), Terrance Hoffman, Esq. from the law firm of Hoffman Hurbert, Hoffman & Greenough located in Syracu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Murray Sobie Case No. 93-02165 Names of Respondents Tucker Anthony Incorporated Gabriele, Hueglin, & Cashman, Inc. David A. Zwick For Claimant, Murray Sobie ("Sobie"): Robert W. Pearce of Lerner & Pearce, P.A. For Respondents, Tucker Anthony, Inc. ("Tucker") and Gabriel, Hueglin and Cashman, Inc. ("GH&C") and David Zwic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between e o Cli Irving & Jean Judovin Case No. 93-02160 NameofRfiSDondents Neil D. Schwartz, FPC Inc., Financial Planning Services, Inc., Financial Planning Insurance Agency Inc; NDS Financial Group, Inc., Ronald R. Molina, Financial Capital of America, Inc. and Financial Capital of America Investment Company, Inc. FPC Inc. For Claimants, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph P. and Helen K. Delay 94-00023 Name of Respondent Piper Jaffray, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 3, 1994, Claimants Joseph & Helen Delay, who appeared Pro Se, alleged that Respondent Piper Jaffray, Inc., through its registered representative, Jaime

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Prudential Securities Inc 94-00020 Name of Respondent!^ Donald Spongberg REPRESENTATION Claimant Prudential Securities Incorporated ("Prudential"), was represented by Denis J. McCarthy, Esq., of Prudential Securities Incorporated. Respondent Donald Spongberg was represented by Frank A. Lightmas, Jr., Esq. of L

N.A.S.D. AWARD » NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul Schneider 94-00015 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION For Claimant Paul Schneider ("Claimant") appeared Jerome M. Selvers, Esq. of the law firm of Sonnenblick, Parker & Selvers, P.C. located in Freehold, New Jersey. For Respondent Merrill Lynch Pierce Fenner & Smith, Inc.