PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #92-01677 AWARD In che Matter of the Arbitration Between John J. Killeen Claimant vs. First American Biltmore Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1992, Claimant John J. Killeen, who appeared Pro Se, alleged that Respondent First American Biltmore Securities, inc. failed to follow

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Gordon Robert Foster, Jr. 92-01676 Name of Respondent^ J.W. Gant and Associates, Inc. Oi iCii id Carlton W. Fleming, Jr. REPRESENTATION For Claimant Gordon R. Foster, Jr.: Charles M. Dalziel, Esq. of the law firm of Savell & Williams. The Respondent J.W. Gant & Associates, Inc. did not attend the hearing. The Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between of (Claimant JosephB. Aquilla "Nfamp First Union Securities, Inc. Case No. 01-00878 ing Site: Baltimore, Maryland RFPR S TVATTOTV O17 Claimant, Joseph B. Aquilla, hereinafter referred to as "Claimant": R. Stewart Barroll, Esq., Cookerly & Barroll, Chestertown, Maryland. Respondent, First Union Securities, Inc., hereinafter referred to as "Respondent": Brian A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Gary S. Sklar 92-01675 Name of Respondent s) Smith Barney Harris Upham & Co., Inc. Theodore A. Schwab REPRESENTATION For Claimant Gary S. Sklar: Walter D'UH. For Respondents Smith Barney, Harris Upham & Co.. Inc. and Theodore A. Schwab: Hugh M. McGovern, Esq. CASE INFORMATION Statement of Claim filed: May 15. 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFr.TTRTTTF,* HFAT.F.RS, FNC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration Cowles, Saboi & Company, Inc. No. 92-01670 v. Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Robert Slice-ran Molly C. Wilson v. William L. Sabol REPRESENTATION For Claimant and Counter-Respondent: Carl J. Carlson, Esq., Talmadge and Cutler, Seattle, Washington For Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant RoseMarie Gagliardi a/k/a Gardi 92-01659 Name of Respondents MONY Securities Corporation Aldo Verreili REPRESENTATION For Claimant: RoseMarie Gagliardi a/k/a Gardi ("Claimant"): Claimant represented herself. For Respondents: MONY Securities Corporation and Aldo Verrelii ("Respondents"): Terri Mclntyre of the law firm of Ber

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arthur B, Cone Name of Respondents Network 1 Financial Securities, Inc. Mike Ponder Herman Slutsky 92-01658 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 15, 1992, Claimant Arthur B. Cone, who appeared Pro Se, alleged that Respondent Herman Slutsky, while emplo

N.A.S.D. AWARD © NATIONAL ASSOCIATION OF SBCGRITIES DEALERS In the Matter of the Arbitration Between T Name of Claimant (s) ) Yolanda and Annelienes Hoffmann ) Name of Resixtvient (s) ) Merrill Lynch Pierce Fenner & Smith Inc ) William Laudani ) Arbitration National Association of Securities Dealers, Inc. One East Sroward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 92-00514 FOOT Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tnt Matter of the Arbitration Between Name o f Claimant L*mont K. Williams 92-00512 Name of Respondents Prudential Securities Inc Frank G. Evans REPRESENTATION For Claimant: Dean A. Drew, Esq. of Dean & Drew. For Respondents, Prudential Securities, Inc. and Frank G. Evans: William Healy, Esq. of Prudential Securities, Inc. CASE INFORMATION Statement of Claim fil

N.A.S.D. AWARD < NXTICNMi ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between NsjDeofClaiinaiit No. 92-005H Name of P'»«p rffv teit8 John Galinsky For Claimant: Paul J. Sussman r Esq. of Chicago, Illinois. For Respccdents: M. David Hynan, Esq., Ridgewood, New Jersey. Statement of n**m filed: February 10, 1992. Claimant's Submission Agreement signed on: February 6 t 1992. Joint Statenent of Answer