HJLS-D- JMBD ® NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Jorge Rivera and ragman Belen Colon Diaz Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Name of Shearson T^hman Brothers, Inc f/k/a et al Glenn Bropkin Robert F. Jerome Ruben Foamier §91-01226 For

PUBLIC Arbitration N.A.S.D. AWARD National Awoc^tton of Securities Dealers, Inc. NATIONAL ASSOCIATION OP SECTkiTli* DEALERS _ __ __ New York, N.Y. 10004 la the Matter of the Arbitration Between FAX (212)858-4389 Murray Dulberg 91-01220 Q£ R.H. Damon & Co. David Davidson Claimant Worray Dulberg ("Claimant") was represented by Lowell B. Davis, Esq. of the law offices of Sbeehy & Friedler. Respondent R. H. namm & Co. ("Damon") was r

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01211 AHARD In the Matter of the Arbitration Between Vernon James Kordahl Claimant vs. . ._ - - -v Bateman Eichler, Hill Richards, Inc. * Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1991, Claimant Vernon James Kordahl who appeared Pro Se, alleged that Respondent Bateman Eichler, Hill Richards,

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number : 01-01819 Franklin Ross, Inc. Names of the Respondents Hearing Site: Boca Raton, FL. Terra Nova Trading, L.L.C. Southwest Securities, Inc. REPRESENTATION OF PARTIES For Franklin Ross, Inc., hereinafter referred to as "Claimant": Delmer C. Gowing, HI, P.A., Delray Beach, FL. For Respondent Terra Nova Trading, L.L.C, hereinafter referred to as "Terra Nova"

NJLS.D. -AWARD ASSOCIATION OF SECDRITIES DEALERS In the Matter of the Arbitration Between NSmeofCladjDantfs) Tim gfriiMTi na ghnh4n 91-01206 Sheaxson Hb-Shun Joseph Molinari TVtn ghnVi< n f Whittier, Rfispondents: Mark W. Helscn, Esq., Keesal, Young & Logan, Ijoog Beach, Caliromia Statanent of Claim filed: April 16, 1991 Amended Statement of Claim filed: May 20, 1991 ma4TTBm< -gi Submission. Agreement signed on: April 2

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01203 AWARD In the Matter of the Arbitration Between Anne V. Brennan Claimant vs. Brian Shanahan and Investacorp, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1991, Claimant, Anne V. Brennan, who appeared Pro Se, alleged that Respondent Brian Shanahan failed to follow her instructions to liquidate her

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ghaus M. Malik Claimant vs. Hassan Growney Securities First Montauk Securities Corporation and Ed Harris Respondents CASE #91-01201 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 16, 1991, Claimant, Ghaus M. Malik by and through his counsel Sher M. Akhtar, Esq., Sole Practitioner, R

N.A.S.D. AWARD NATICHAL ASSOCIATION CEP SECURITIES DEALERS In the Matter of the Arbitration Between of PaineWebber, inc. vs. NASD AWftRD #91-00178 Name of Respondent J. Donald Sullivan case PaineWebber, Inc., in a rlalm filed with the National Association of Securities Dealers, Inc. en April 15, 1391, and ampntert on January 15, 1992, as a paper case, alleged that TWrpnmVnt Sullivan breached the terms of the agreement betMeen the parties

N.A.S.D. AWARD ASSOCIATION OF HhlLVIP'T 1 ^ DERLERS, INC. In the Matter of the Arbitration. Between Of John M. Bif fie and Johnny M. Bif fie Jtten 91-OU71 Alex BTCMI & Co. Inc., National Bank of Ccmnerce, O IIIUHI ce Investiuent Cuj.puiat'i on , Penning Division of Donaldson, and TJI^HTI St Jenrette Securities Corporation Hams of Ttilrd-Partv Respondent Say W. Barney, Jr. Claimant, John M. Bif fie vns represented by R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert and Elizabeth Perry 91-01165 Name of Respondents Shearson Lehman Brothers, Inc. Joel Selden For Claimants Robert and Elizabeth Perry ("Claimants"): David E. Robbins, of Kaufmann Gildin et al. For Respondents Shearson Lehman Brothers. Inc. ("Shearson") and Joel Selden ("Selden"): Arthur C. Schupbach. of Schupbach Wil