NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Linda L. Cass. Individually and as Executor of the Estate of John L. Cass vs. Case #91-01484 Name of Respondents Shearson Lehman Hutton Harvey Wasserman Donald Ackerman REPRESENTATION For Claimant, Linda L. Cass, individually and as Executrix of the Estate of John L. Cass, Earl Cantwell, Esq. from the law firm of Jaeckle, Fleishman and Mu

Arbitration N.A.S.D. AWARD w ASSOCIATION OP SECDRITIES DEM£RS In the fetter of the Arbitration Between of CL Joseph Facella, Alice Pacella Jnnnph Paoella as Custodian et al.. DeBaln/fiacella Inc. aqp.Ftofit Sh.Trust VB. National Anoctatton of SacurttlaaOiaHrt t lnc> NASD Financial Center 33 Whitehall Strert NewYonXN.Y.1CXX)4 FAX (212) 858-4388 Cbse # 91-01479 For daimmts, Joseph Pacella, Alice Bacella, et

N.A.S.D. AHARD NATIONAL ASSOCIATION OF SECDRITIBS DEALERS In the Matter of the Arbitration Between Of Theresa Cahill and Francis Weber 91-01477 Name of Respondents Prudential Securities Inc Steven Sless RBPRSSKNTATION For Claimants Theresa Cahill and Francis Weber ("Claimants"): Anthony J. Horn, a sole practitioner. For Respondents Prudential Securities, Inc. ("PS") and Steven Sless ("Sless"): Marc Durant of PS. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEAl£RS In the Matter of the Arbitration Between ) Of riaHTi»nt(8) Kelvin Schwartz Name of Respondent (e) Key Warren Keeper Securities Group, Inc Gulf stream Financial fUETULBI Case No. 91-01469 For Claimant, Melvin Schwartz ("Schwartz 11 ): William Doyle, Esq. of William P. Doyle, P.A. For Respondents, Reaper Securities Group, Inc. ("Kenper") and Gulfstream Financial Asso

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dexter Coffield and Sandra Coffield, JTTEN Claimants vs. Charles Schwab & Co., Inc. Respondent AWARD Case #91-01459 CA5E SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 10, 1991, Claimant Dexter and Sandra Coffield who appeared -pro se, alleged that Respondent Charles Schwab & Co., Inc, neglected to cont

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sanford Kellman, Claimant v. Bear Steams & Co., Inc., CISC World Markets Corp. f/k/a CIBC Oppenheimer & Co., Inc., and Mark L. Moskowitz, Respondents Case Number: 01-01846 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondents: Philip A. McLeod, Esq. Ja

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gustavo G. and Rosalinda G. Gomez No. 91-01457 Name of Respondents -•^ -v- Metlife-State Street Service Center Craig Kolak MetLife Securities, Inc. Metropolitan Life Insurance Company REPRESENTATION OF PARTIES For Claimants: Richard Wynn appeared on behalf of the Claimants. Claimants also appeared. For Responden

N.A.S.D. AHMD NATICNAL ASSOdATCCtT OF Stt.lJkJ.TIE3 DBfffBfl la tte Matter of tha Arbitration Between Francis K. and Audrey B. Tyra, JIWROS 91*01448 nnnn Witter Reynolds, Inc. For daisBntst Tied S. HeiJcle, Esq. azxi F. Chet Taylor r Esq., of PredrUcsCTi & Byrcn, P.A., MlTmnnrnllnr Miimesoca. For RBflpcodeoti G. Marc Mhitebead, Esq. and Scott E. Btchtar, Esq. of Fqpban, Stataaent of ffl^» filed on May 9, 1991. dainBnt's Sufcodssion Agrea

Artottmtton * National AnocMton of i, Inc. HRTICNRL ASSOCXKnJCN OF SHUJHITJSS TTffifffffl NASD Financial Center _ _ _ 33 WhHehaH Street la the Matter of the Aitoitration Between New YofKN.Y. 10004 FAX (21 2) 858-4389 of f^Tj Charles J* Allen 91-01446 Thomas Frank Belvin For Claimant ffMwiap j. Allen ("dainant"): Benjamin A. Williams of Fatten, Woman et al* For ReepooiBnt Frank Belvin ("Rfiepcodent"): Cynthia A. Doria of BdNard D.

N.A.5.D. NATIONAL ASSOdATICW OF fcJHJURTi'lBS In the Matter of the Arbitration Betwaea Uane of Marjory Vaught Klein, an individual, and C/F Mocriaie Noel Vfcught, Jtorjorie Elizabeth Vaugnt, Jarred Sham Vaugfat r Timothy Justin Vaugnt - -v- 91-01445 Hams of Larry L. Slnnccs Park Avenue Securities Inc. Frank. G. MesQuire, III For dainantst William B* Fedeaanan of Day, Hewett & Fectemzm, Oklahona City, For Respondent Lairy