NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01421 AWARD In the Matter of the Arbitration Between Donald Cusimano Claimant vs. Quick & Reilly, Inc. Bruce Moar Judy Roofner Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 7, 1991, Claimant, Donald Cusimano who appeared Pro Se, alleged that Respondent Judy Roofner failed to properly follow his buy order inst

N.A.S.D. APOKD NKTICNftL ASSOCTKEKN OP SECURITIES DEATJ3?fl, la the Hatter of the Arbitration Between Of Kate L. Metchik 91-01420 Q£ Prtiif • itAanHa New York Life Securities, Inc. and Joel Shapiro dainant, Kate L. Ifetchik VMS j.epu:eaented by Mark D. Chester, Eaq. of & Kennedy, Phoenix, Arizona* Respondent, Mew York Life, Inc. was represented by Alan R. Ttaennan, Esq* of New York Life, New York, New York. Respondent, Joel Shapiro "

N.A.S.D. AWARD NATICNMi ASSOCIATION 1 OF SBCDRITTES DEALERS In the Matter of the Arbitration Between 91-01419 Name of F.N. Wolf & Co., Inc. Russell Hill For Claimant: Brian Smiley, Esq. of Page & Bacek in Atlanta, Georgia. For Respondents: J. Kennard Neal, Esq. and David P. Cohen, Esq. of Alston & Bird in Atlanta, Georgia. (ass Statement of CTla-hn filed: May €, 1991. Claimant's Submission Agreement signed on: May 3, 1991. Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Alston M. Smithers & Helen Smithers Claimants vs. PaineWebber, Inc. Arthur J. Herrera Respondents CASE #91-01407 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 6, 1991, Claimants Alston & Helen Smithers through their counsel Thomas W. Donohue p Esq., Titus, Brueckner & Berry, Scot

Award NASD Dispute Resolution In the Matter of the Arbitration Between: "f t hp naimant^) Pflgf N^mhftf • 01-01836 Jann K. Green nf th p FF-pp n n f font(i g ) Hearing ftit ft * Houston, Texas A. G. Edwards & Sons, Inc. Jeffrey Riley O Claimant Jann K. Green hereinafter referred to as "Claimant": Joseph J. Hroch, Esq., Spencer & Associates, P.C., Houston, Texas. Respondents A.G. Edwards & Son,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rajendrakumar Gandhi and Mangala Nadkarini n/k/a Mangala Gandhi and No. 91-01406 - - -JV- Name of Respondents Quick & Reilly, Inc. Donna Crawley REPRESENTATION OP PARTIES For Claimants: Rajendrakumar Gandhi For Respondents: Joseph Corso CASH INFORMATION Statement of Claim filed: on or about May 3, 1991.

Arbitration National Association of Securities Dealers, Inc. NASD Financial Center NASD AWARD 33 Whitehall Street New York. N.Y. 10004 NATIONAL ASSOCIATICN OF SELTJKiTlKS DEALERS FAX (212) 85W389 In the Matter of the Arbitration Between Name of Claimants David *rvi Constance David and Mary 91-01404 Name of Respondents & ^^'h Financial Group, Inc. Donald Zoch Paul Zoch For naimar^ts David aT vi rnnpt-aTif-a H**

1 -4 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Stanley Diamond 91-01402 Name of Respondent(s) Shearson Lehman Brothers, Inc. Andrew Sunkin REPRESENTATION For Claimant Stanley Diamond: Mark F. Heinze, Esq. of Monaghan Rem & ^k Zeller, P.C., Hackensack, New Jersey. For Respondents Shearson Lehman Brothers, Inc. and Andrew Sunkin: Arthur Schupbach of Schu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bernard Fink ;.- Barney Fink Container Co., Inc. Bernard and Margaret Fink Foundation No. 91-01398 Name of Respondents Dean Witter Reynolds, Inc. Susan McNamara REPRESENTATION OF PARTIES For Claimants: William M. Larson. Jr., Esq., of Kennedy, Holland. DeLacy & Svoboda, Omaha, Nebraska. For Respondents: Michael T.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Dennis and Sheila Diecidue Case No. 91-01397 Name of Respondent(s) Shearson Lehman Hutton, Inc. Larry Sizeler REPRESENTATION For Claimants, Dennis and Sheila Diecidue ("the Diecidues"): Albert M. Salem, Jr. of Albert Salem & Associates, P. A. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Larry Sizeier ("