N.A.S.D. AWARD ' NATKML ASSOCIATION OF SBCDRTTZES DEALERS In the Matter of the Arbitration Between ) j . IBma Qf na-lTnaTit(s) ) ^ : -- "- •' — ^—^ ) ......... Rebecca S. Liptak ) ) ) Cue No. 91-03072 Name of For Claimant, M-WVJI 3. LiptaJc ("LlptaJc") : A. Grant Bohl of db Managsnent, Inc. FOOT F^'IM^K • Mini I *?^wiT8C" T^Himn Bcot!beECB« Inc* ("Sbfiarscu") : Brian Joslyn, Esq. of Boose, Causey, CUclln, et. al. Stat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Sherman & Rose Garland, JTWROS, Rose Garland as personal representative and Rose Garland as successor trustee 91-03070 Names of Respondents Prudential-Bache Securities Inc. and Randy W. Brandt REPRESENTATION Claimants were represented by Kurt M. Brueckner, Esq. and David Jordan, Esq. of Titus, Brueckner & Berry, Scott

N.A.S.D. Assodancu OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rita Mae Jackson. 91-03069 Nams of Ranscher Pierce Refsnes, Inc. L. Joseph Lanm, Jr. For daimant: Rita Mae Jackson was represented by James C. Woo, Esq. of Green, McReynolds & Reed, F.C., located in San Antonio, Texas. For Respondents: v*nimrth*nr pierce Refines, Inc. was irprrflrnt'ftfl by A. Ferrill, Esq. of Cox & Smith. Incorporated, loc

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03067 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Charles Morse Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers , Inc. on October 11, 1991, Claimant, PaineWebber, Inc. through its in-house counsel, Garry J. Stegeland, alleged that Respondent Charles Morse erroneously received monies when

Arbitration __ NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (3) ===== Marc Lee Lopata Name of Respondent (a) ai=SB= ^ =====±==as G K Scott & Go. Inc. Jeffrey Applebaum National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 {305) 522 ' 7391 Case Ho. 91-03062 For Claimant, Marc Lee Lop

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between pf Prakash C. Varshney Saxal Varshney Prakash C. Varshney, Custodian - Anshul Varsbney vs. 91-03057 Name of Respf^^g^t (s) Network Qoe Financial Securities, Inc. William Hunt Harold Smith For Claimants: Prakash C. Varshney, Fcruntain Valley, California For Respondents Network One Financial Securities, Inc. and William Hunt: John B.M. Frohlin

PUBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03055 AWARD In the Matter of the Arbitration Between Metro T. Butner Claimant vs. Anthony Crupi Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 1, 1991, Claimant, Metro T. Butner who appeared Pro Se, alleged that in January 19 89 Respondent Anthony Crupi, Financial Consultant with Shearson Lehman Hutton hi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. t In the Matter of the Arbitration Between Trena P. Hunt Jackie Porter JTTEN vs. PUBLIC Claimants CASE #91-03054 AMARD Wachovia Brokerage Service Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 1, 1991, Claimants Trena P. Hunt and Jackie Porter, who appeared Pro Se, alleged that Respondent Wachovia Brokerage Serv

N.A.S.D. AWARD NATIONAL Associaiicw OF SECURITIES DEALERS In tbe t-feitter or the ftdaitration Between of Rolf Olson, Individually anri as Trustee ***** Beneficiary of Rolf Olson, P.C. Pension and Profit Sharing Trusts vs. NASD #91-03048 Sh Carl Martens Brothers, Inc. For Claimant: Fredrick D. i f Seattle, , Esq., f Fettennan, Martin, Ttodd & For Respcodents: Jerry B. Bbdson, Esq., Miller. Hash, Wiener

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name r>f the Claimants Gerald and Phillis Chazan Name of the Respondents Robert B. Fitzparrick, Gerald F. O'Neill, and First Union Securities, Inc. Case Number: 01-01866 Hearing Site! Philadelphia, Pennsylvania RF.PRRSF.NTATION OF PARTIES Claimants Gerald and Phillis Chazan, hereinafter collectively referred to as "Claimants", were represented by Nicholas J. Guii