N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Paul G. & Connie M. Schorr, JTTEN 92-03388 Name of Respondents J.W. Gant & Associates Colin Bruce CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1992, Claimants Paul & Connie Schorr, who appeared Pro Se, alleged that Respondent J.W. Gant & Associates, through it'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant John R. Lindung vs. Case # 92-03387 Name of Respondent Alex Brown & Sons, Inc. REPRESENTATION For Claimant ("Claimant"): Stephan R. Tully, Esq. of the law firm of Siegel, Tully & Turner. For Respondent Alex Brown & Sons, Inc. ("Respondent"): Daniel E. Mclntryre, Assistant General Counsel at Alex Brown & Sons. Inc. CASE INFO

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant All Shamaei Zadeh 92-03384 Name of Respondents Prudential Securities Inc William Michael Roach Mary Miller • €ASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 7, 1992, Claimant Ali Shamaei Zadeh by and through his counsel James P. McCrocklin, Esq., Sole Practit

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS to the Matter of me Arbitration Between Dora B. Bishop, L. Greer Bishop & IRA 92-03378 F,N. Wolf* Co., Inc. Sherwood Capital, Inc. REPRESENTATION For Claimants: Guy Bums, Esq. and Bruce W. Barnes, Esq. of Johnson, Blakcly, Pope, Bokor, Rnppel & Bums, P.A., Tampa, FL. HOT Respondent, Sherwood Capital, Iqc., ("Sherwood"): Jeffrey P. Flynn, Esq. of Ciummy, del Deo, Dolan, Griffinger & Ve

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Scarsdale Teachers Federal Credit Union 92-03284 Name of Respondent^ Ernst & Company The Trading Desk, Inc. Benjamin Maxwell & Co. REPRESENTATION For Claimant: Evelyn C. Marino of the Scarsdale Teachers Federal Credit Union, Scarsdale, New York. For Respondents: Michael H. DuBoff, Esq. of Salon, Maron & Dy

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Gulati Trust Vinay and Seema Gulati, Trustees NASD Arbitration No. 92-03283 Name of Respondent Otra Clearing Inc. REPRESENTATION For Claimant: Robert E. Thompson, Esq. - San Francisco, California For Respondent: Scott G. Monson, Esq - RKS Financial Group, Inc. Salt Lake City, Utah CASE INFORMATION Statement

•r N.A.S.D. AWARD - •>_ NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or Claimants Pedro Canavati: Nazira Canavati 92-03281 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith. Inc.; Javier F. Perez For Claimants: Pedro Canavati and Nazira Canavati were represented by M. Steven Deck, Esq. of the Law Office of John King, located in McAUen, Texas. For Respondents: Merrill Lynch, Pierce.

02 "33 06--2Z _ P.3 N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS fodfth NcJiofi Rihfnuui 92-03280 ; & Company, Inc. MucM. Cohan & Htiptzt For Chironis Dtvid & Bobbin, Bio. of Kniftnmn, Fobwr, Yunin, Oflden ft H-fct,!-. ' ." • JKDDUBIlB. Foe Bffjpon< fem§i Mni-AoDD Plurti, BK}. of Flckud tnd Ojfnitf SMMHtt of CUm fifed: AjrttM, 1992. Ammrimnnt to Stttement of Ckim flled: December 17, 1992. Otkum'f Kepiy to CooniKCi

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration between Gerald & Marie MAUERSBERG v. NASD Arbitration #92-03272 HIBBARD BROWN & CO., Inc. John Michael GATCHELL Joseph CHESTER REPRESENTATION For CLAIMANT; F. Walter BLOOM, III, Esquire For RESPONDENT; Steven B. CARUSO, Esquire tHIBBARD BROWN EVP & GENERAL COUNSEL] for HIBBARD BROWN a,nd Joseph CHESTER John Michael GATCHELL [to represent hi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fidelity Brokerage Services, Inc. National Financial Services, Corp. Case# 92-03264 vs. Name of Respondent Hussain Y. Siam For Claimants, Fidelity Brokerage Services, Inc. ("FBSI") and National Financial Services, Corp. ("NFSC") ("Claimants"), John McCardle, Esq., from the law firm of Smith, Levenson, Smith & Collen, P.