N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRITTES DEALERS In the Matter of the Arbitration Between of Barbara Gayle Vfetson Scbmitte Frederick A. Schmitte 91-01389 Name of Respondent (3) J.C. Bradford. & Co. Robert J. Tinsley The Rnhi nson-ffmndrrey Ccnpany Inc. For Claimant: Janes R. Gilreath, Esq. of Greenville, South Carolina. For Respondent J.C. Bradford & Co.: Jay S. Bowen, Esq. of Baas, Berry & Sims in Nashville, Tennessee.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS MAY ? $ £92 In the Matter of the Arbitration Between Name of Claimants Bruce A. & Linda 0. Polizocto 91-01386 Name of Respondents Shearson Lehman Hutton, IncT. Robert D. Damigella Lawrence J. Green REPRESENTATION QF PARTIES For Claimants: Mark S. Maddox, Esq. of Coons & Saint, Indianapol is , Indiana . For Respondents: Robert J. Mandel, Esq. of Neal Gerber & Eisenberg, Chi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Patric Barry dba Charleston Iron and Steel vs. 91-01385 Name of Resnon Farhad Jamshic Arfa For Claimant: Patric Barry, 19431 Sierra Onila Road f Irvine, CA 92715 For Respondent; No appearance Statement of Claim filed: May 3, 1991 Claimant's Submission Agreement signed on: June 17, 1991 Statement of Answer filed by Respondent on: Non

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vincent McGuire, (Claimant) vs. Joseph Stevens & Company, Inc., (Respondent) Case Number: 01-01834 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Vincent McGuire, hereinafter referred to as "Claimant": Daniel Collins, Esq., Pomerance & Collins, LLP, West Babylon, NY. Respondent, Joseph Stevens & Company, Inc., hereinafter referred to as "Respondent":

Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEftlERS New York ' New York 10004 In the letter of the Arbitration Between Name of Claimant Janes D. Kurfess 91-01382 of Respondents Johnston, Lemon & Co* Inc. For Claimant: Claimant appeared pro se. For Respondents Respondent was represented by Douglas K. Spaulding, Esq

PUBLIC Arbitration N.A,S.D. AWARD ASSOCIATION OF SHJUK1T1ES DEALERS In. the Matter of the Arbitration Between Of National Associate Securities Dealers. NASD Financial Cer 33 Whitehall Street New York, N.Y. 100C FAX(212)858-438£ FaineWefcber, me. vs. Case # 91-01381 Amos Glle For Claimant: Edward Werner, Esq., in-houae counsel. For Respondent: Pro se. Statement of Claim filed: May 01, 1591. Claimant's Submi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Robert & Francine Bernstein Philip Schneider Claimants vs. Century Financial Securities, Inc. Respondent CONSOLIDATED WITH CASE #91-01525 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 1, 1991, Claimants, Robert & Francine Bernstein, through their counsel, Jeffrey A. Thurnau, Esq., De

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01371 AWARD In the Matter of the Arbitration Between Neal L. Ray Claimant vs. J. W. Gant & Associates, Inc. John Leniart Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May l, 1991, Claimant, Neal L. Ray, who appeared Pro Se, alleged that on February 16, 1991, Respondent John Leniart, a registered representa

__ N.A.S.D. AWARD NATIONAL AfiflOCIATlCN OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Connie J. I-aPrum 91-01370 Name of PUBLIC Merrill Lynch, Pierce, Fenner & anith Inc Bruce Ciallella For Claimant: Frederick Klepp, Esq. of Frederick Klepp law Offices. For Respondents: Christopher Cavuoti, Esq. of Merrill Lynch, Pierce, Fenner & Smith, Inc. Statement of Haim filed on: April 29, 1991. Claimant's

N.A.S.D. AWARD NATIONAL ASSQCTATTON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James D. Adams Winona T. Adams NASD Arbitration No. 91-01366 Name of Respondents IDS Financial Services Inc. Stanley Tobias REPRESENTATION For CFaimant: In Pro Se For Respondent: Ellen B. Politano, Esq. - Honolulu, Hawaii CASE INFORMATION Statement of Claim filed: May 1, 1991 Claimants' Submission Agreement