Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Itetter of the Arbitration Between Name of Clai-mants Edmond and Eileen Johnson, etal. vs. NjameofRespandent vanden Catli National Association or Securities Dealers. Inc. 'JASD F ^ancai C-_rn:e r _o '.VhiTensii S^r^f! .New fern. N.Y 'CCG4 -AX < 2'2', S5S-J-ic9 Case* 91-03997 For Claimants, Johnson, Eileen L. Johnson, Timothy E. Johnson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Shearson Lehman Brothers. Inc. 91-03853 Name of Respondent Michel Lagravere REPRESENTATION For Claimant Shearson Lehman Brothers, Inc. ("Claimant"): Mark Alonso, a sole practitioner. For Respondent Michel Lagravere ("Lagravere"): Alfred Ferrer, HI, of Piper &. Marbury. CASE INFORMATION Statement of Claim filed: December 5,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Teresa Scuderi 91-03851 Name of Respondents Shearson Lehman Brothers, Inc. f/k/a Shearson Lehman Hutton, Inc. Charles W. Kusche. Ill REPRESENTATION Claimant Teresa Scuderi ("Claimant") was represented by: Joseph F. Keenan, Esq. of Bochat and Keenan. Respondent Shearson Lehman Brothers, Inc. ("Shearson") was represented by

, Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Raymond J. Flynn, (Claimant) vs. E*Trade Securities Inc., (Respondent) Case Number: 01-00854 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Raymond J. Flynn, hereinafter referred to as "Claimant", appeared pro se. Respondent, E*Trade Securities Inc., hereinafter referred to as "Respondent": Paul L. Kattas, Esq., Kelley Drye & Warren LLP, Parsippany, NJ.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Gennarelli Case # vs. 91-03843 Name of Respondents Fahnesiock & Co.. Inc. Marc Andor Menton REPRESENTATION For Claimant. Patricia Gennarelli: David Crystal. II from the law firm of Collier Cohen, Shields and Bock. For Respondent. Fahnestock & Co.. Inc. ("Fahnestock"): Charies E. Padgett. Esq., from the firm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Shirlee Pasquariello, Trustee-D. Pasquariello Shirlee Pasquariello, Trustee-V. Pasquariello Shirlee Pasquariello, Trustee-N. Pasquariello NASD Arbitration No. 91-03842 Name of Respondent^ Waddell & Reed, Inc. REPRESENTATION For Claimants: Shirlee Pasquariello, Boise, Idaho For Respondent: Rodney O. McWhinney, Esq., Wa

N.A.S.D. AWWZD ASSOCIATION OF SHCDRITTES DEALERS - In riie Matter of the Arbitration Between Name Of Ranald D. Van 91-03839 Name of Rasponrlfnts Batenan Eichler, Hill Richards, Inc. Reaper Securities Group Daniel P. Litt For Claimant Ronald D. Van ("Claimant") : Antbony Horn, Attorney at Law. For Respondents Bateman Eichler, Hill Richards, Inc. ("Bateman Eichler" or "Bateman 0 ) *"rf Keoper Securities Group ("Kenpear") : A. Brad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALER In the tetter of the Arbitration Between Kama o£ Claimant Theodore C. Porter 91-03834 of Jeffrey Heetj First Gateway Securities, Ice. ; Hdue, ft**™? & Jabnson, Inc. , now knaua as Howe BMTHVT Investments, Inc. ; R. Marnttfill Barnes For Claimant: Theodore C. Porter appeared pro se* For Reepondent: First Gateway Securities, me, «s r^resented by Peter O'Kfeal of First Gateway

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRTTIES DEALERS In the Matter of the Arbitration Between T Name of Claimant (s) ) James 0. & Natalie F. Cross ) Nameo^^esgondgat^s^ ) G K Scott & Co. Inc. ) Michael R. Czaja ) Alan F. Pacella ) Arbitration National Aaaoclatlon of Stcurttte* DMtors, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdaie. Florida 33301 {305} 522-7391 Case No. 91-03832 For Claimants, Jamas 0.

PUBLIC NATIONAL ASSOCIATION CF SECURITIES DEALERS, IMC. CASE #91-03829 AWARD in the Matter of the Arbitration Between Adnan Dada Claimant vs . J.W. Gant and Associates, Inc. James Chung Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 4, 1991, Claimant Adnan Dada, who appeared Pro Se, alleged that in April 1990, he opened an account with Respondent James Chung