N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Anthony Gagliano and A. Gagliano Co., Inc., Claimants v. No.94-00007 Lawrence J. Friedlander, Bear Stearns & Co., Inc. and Dean Witter Reynolds, Inc., Respondents REPRESENTATION OF PARTIES Claimants, Anthony Gagliano and A. Gagliano Co., Inc., were represented by Terrence Buehler, Esq. of Susman, Saunders & Buehler, Chicago, IL. Respondents, Bear Stearns & Company, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^&) Daniel S. Allen 94-00005 Name of Resoondent(s> Dean Witter Reynolds, Inc. Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: John R. Kiefner, Esq. of the law firm of Rideo, Earle & Kiefner, P.A., St. Petersburg, PL. For Respondent: Shearson Lehman Brothers, Inc. ("Shearson"): Pete S. Michaels, Esq., in- hous

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steve Zeldin, (Claimant) vs. Goldis Financial Group, Inc., (Respondent) Case Number: 01-02877 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Steve Zeldin, hereinafter referred to as "Claimant", appeared pro se. Respondent, Goldis Financial Group, Inc., hereinafter referred to as "Respondent": Howard S. Eilen, Esq., Lehman & Eilen LLP, Uniondale, NY. CASE INF

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fahnestock & Co., Inc. Gordon & Co. Aspen Capital Group, Inc. 93-05396 Name of Respondent Rafi M. Khan REPRESENTATION For Claimants: Fahnestock & Co., Inc.("Fahnestock") and Gordon & Co.("Gordon") Richard F. Market located in Nev^York, New York. For Claimant: Aspen Capital Group ("Aspen"), Andrew Petrie located in Denv

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant June Louise Conroy Case# vs. 93-05390 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant, June Conroy ("Claimant"), John M. Pelletier, Esq., located in Falls River. Massachusetts. For Respondent. Shearson Lehman Brothers. Inc.("Respondent"), Mark W. Batten. Esq., from the iaw firm of Binghain.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nan»e of Claimants William J. and Catherine M. Sullivan Award No. vs. 93-05383 Name nf Respondents Richard Cedrone Fulton Ferracute Capital Corp. Amerinational Financial Services Inc. Marc Riviello Peter A. Provence Jerome M. Schneider National Financial Services Corp. For Claimant, William J. Sullivan and Catherine M. Sullivan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond J. Spellman 93-05378 Name of Respondents Prudential Securities, Inc. f/k/a Prudential Bache Securities, Inc. Joseph Zampetti REPRESENTATION For Claimant Raymond J. Spellman ("Spellman") appeared Mitchel H. Cobert, Esq., a sole practitioner, located in Morristown, New Jersey. "For Respondent Prudential Securities, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Edward Altschuler v. 93-05340 Name of Respondents Dunhill Equities, Inc. Joseph Giulio Chiulli REPRESENTATION Claimant David Edward Altschuler ("Claimant") appeared pro se. Respondent Joseph Giulio Chiulli ("Chiulli") appeared pro se and as the representative for Respondent Dunhill Equities, Inc. ("Dunhill"). CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. 93-05338 Name of Respondent William E. Orthwein REPRESENTATION For Claimant: Joseph A. Vallo, Esq., Fort Lauderdale, FL. For Respondent: Harry W. Haskins, Esq., Sarasota, FL. CASE INFORMATION Statement of Claim filed: December 27, 1993. Answer of Raymond James & Associates, Inc. ("Raymon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kurt Traulsen 93-05336 Name of Respondent Cantor Fitzgerald Securities Corp. REPRESENTATION For Claimant Kurt Traulsen ("Claimant") appeared Gerald N. Daffner, Esq., a sole practitioner located in New York, New York. For Respondent Cantor Fitzgerald Securities Corp. ("Respondent") appeared Alan Kaminsky, Esq. from the law f