Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jeff Lowden, Claimant v. Preston Langley Asset Management, Inc., Robert W. Lisnoff, Jr., Brian Carroll, Joe Digirolamo and J.B. Oxford & Company., Respondents Case Number: 01-01872 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John C. Breslo, Esq. Knapp & Roberts, PC Scortsdale, Arizona For Respondent Preston Langley Robert W. Lisnoff Jr.

Arbitration N.A.S.D. AWRRD NATIONAL ASSOCIATION OF SBO3RITIES DEALERS In tbe Matter of the Arbitraticn National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 rriinrWrriirr. Inc. vs. # 92-00521 Krlsten larcom Fbr daiannt, PaiaeMefcber, Inc., Jennifer Cccnors, Esq. from tbe flam of PaineWebber, Inc. Respcsxisit, Kristen or a representative d

N.A.S.D. AWARD . . ^ ..^^^L^d NKnCNAL ASSOCIATION OF SBCDRITIES DEALERS, INC. —~— _,! In the Matter of the Arbitration Between < -MN I 9 |QQQ j of *** ' Andrea Kcnig and 92-00518 — -»i Prudential Securities, Inc. CP Claimant Andrea Konig was represented by Stuart C. Goldberg, Esq., Austin, Texas and Stephen J. Grubiss, Esq. of Grubiss & Grubiss, Boulder, Colorado. Respondent Prudential Securities, Inc. was represented by Charles F. Br

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimants/Counter-Respondents Barbara Anzilotti; A & A Court Reporters, Inc. 92-00517 Name of Respondents/Counter-Claimants Shearson Lehman Brothers, Inc.; Esther Villarreal Houser REPRESENTATION For Claimants/Counter-Respondents: Barbara Anzilotti and A & A Court Reporters, Inc. were represented by James R. Leahy, Esq. and Thomas G. Tucker, Esq. of Baker, Brown, Sharman & P

Arbitration N.A.S.D. AWARD vy NATIONAL ASSOCIATION OF SBUUKiTiKS DEALER In the Matter of the Arbitration Between HEffng. pf rna-i-rnarifc Blosscm Wlttlin vs. Name of Peter Bruno Wall Street Money Center Corporation Street Honey Managenent Group National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 92-00516 For Claimant, Blo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PUBLIC Peter B. Fay Claimant CASE #91-03112 va. Hambrecht & Quist, Inc. William L. Hiss Respondents AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1991, Claimant, Peter B. Fay by and through his counsel, Richard B. Dannenberg, Esq. of Lowey Dannenberg Bemporad & Selinger, P. C.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-031X1 AKAKD In the Matter of the Arbitration Between Angelo Colavita, Trustee Claimant vs. Drake Capital Securities, Inc. Charles Pascal Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 4, 1991, Claimant, Angelo Colavita, TTEE, who appeared Pro Se, alleged that Respondents, Charles Pascal and Drake Ca

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DElffiERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Jfetter of the Arbitration Between Name of Claimant Kay Willene Smith Blums 91-03106 Name of Respondents Shearson Lehman Brothers, Inc. Steve Harvey For Claimant: Elizabeth S. York, Esq. For Respondent Snearson Lehman B

W.A,S*D. AHARD ® ASSOCIKnCN OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (a) David & Juana Fonieonan Gabriel C, Pcnieman »"rf Roberto Ponieman Name of Reapcndentte) Pruflpnt,1al-Bache Securities Inc. Arbitration National AaaocJatfon of Securities Dealer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Flonda 33301 (305) 522-7391 Case No. 91-03105 For Claimant, David & Jti

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between W. Howard Goggans Claimant vs. CASE #91-03100 AWARD Morgan Keegan & Company, Inc. A. Daniel Barnett Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 3, 1991, Claimant, W. Howard Goggans, who appeared Pro Se, alleged that on June 16, 1989 Respondents Morgan Keegan & Company,