N.A.S.D. NATICNAL ASSOCTATICN OF SBCDEITIES Tn i-hA Matfcgr of Hua a-rM j-rafclCB Be pf DuWayne Mooers & Elsie Mooers 91-03041 Name of Respondents Off HI nidi! & Company TWIann For Claimants: Mazk Briol, Esq. anri Gregory Wilmes, Esq. of Briol & Wilmes, Minneapolis, Minnesota. For Respondent Offernan fie Conpany: Terrence J. Fleming, Esq. of Undquist & VeoEXum, Minneapolis, M**maanfa and Ann Exline Starr, Esq. of Offerman & f Minneap

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In ~r.e Manner of the Arbitration Between Peter and Antanina Gencarelli Claimants vs . Shearson Lehman Brothers Respondent: CASE SUMMARY CASE #91-03037 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on September 30, 1991, Claimants, Peter and Ant'anina Gencarelli, who appeared Pro 3e, alleged that on August 14, 1986 they contacted Respondent, Shear

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Tii uic Matter of the Arbitration Between Name of Claimant Steven Pean>0" Case# vs. 91-03030 Name of Respondents Merrill Lynch Pierce Fanner & Smith Inc Robyn L. Armstrong Russ Mann REPRESENTATION For Claimant, David H. Jarvis, Esq. of Alan R. Miller, P.C. Anthony V. Trogan, Esq. of Weisman, Trogan, Young and Schloss. For Respondents, Merrill Lynch, Pierce, Fenner and Smit

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03025 AWARD In the Matter of the Arbitration Between Edward L. Echnoz Claimant vs. Stratton Oakmont, Inc. H. Scott Gelfand Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1991, Claimant, Edward L. Echnoz by and through his counsel, Dom W. Greco, Esq. of Greco & Lander, Clarion, Pennsylvania, al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRTTIES DEALERS, INC. In the Matter of the Aitoitratian Between of Warren anri Marie Anderson 91-03022 NameofRfispondents Sbearsan T^hmnn Button, lac. Paul DeBey For Claimants Warren a ™* Iferie Anderson: Wayne E. Boyd and Laurie Petti, Attorneys At law. South Sioux City/ Nebraska. For Respondents Sbearsan t^ahnwi Button, Inc. and Paul DeBey: William A* Hbhauser, Shearsan Lehman Brothers,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03018 AWARD In the Matter of the Arbitration Between Carson and Sharon Gibb Claimants vs. Rotan Mosla, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 27, 1991, Claimants, Carson and Sharon Gibb, who appeared Pro Se r alleged that on October 13, 1990 Respondent Rotan Mosle r Inc. registered re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Howard C. Jarrell and Shirley J. Jarrell and 91-03017 Name of Respondentfs) National Securities Corporation REPRESENTATION OF PARTIES Claimants were represented by William D. Scheid, Esq. of Scheid and Horleck, Denver, Colorado. Respondent was represented by Gregory N. Smith, Esq. of National Securities Corporation, Seattl

PU8UC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03013- AWARD In the Matter of the Arbitration Between David A. Namoff Claimant vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 26, 1991, Claimant David A. Namoff f who appeared Pro Se, alleged that Respondent, Shearson Lehman Brothers, Inc. through it's register

ASSOCIATION OF SUM lUTl'lES N.A.S.D. .WARD PUBLIC la the Matter of the Arbitration Between Of Michael N. Darius 91-03007 Dean Hitter Reynolds Inc. For daiaant: Roger M. Deitz P Esq. of New York City. For Respondent: Paul Dutfca, Esq. of Skadden, Arps, Slate, Maagfaer & Flan in New rack City. CRSB Statement of Ha-iin filed: September 26, 1391. Claimant 'a Submission Agreement signed on: July 13, 1991. Statement of Answer f

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip A. Devincentis (Claimant) Dalton Kent Securities Group, Inc. Bret Grebow (Respondents) Case Number: 01-01865 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Philip A. Devincentis, hereinafter referred to as "Claimant*': Barry S. Miller, Esq., Hillside, NJ. Respondent, Dalton Kent Securities Group, Inc. ("Dalton Kent"), hereinafter refe