N.A.S.D. AMRRD NATICHAL ASSOCIATION OF SULUKIT1J£ DEALERS In the Matter of the Arbitration Between ) of Arbitration National Association of S«curitJe* Dealer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Eugene & Marie Patipa Case Mb. 91-03333 ) Jesup, Josephthal Securities Co., Inc. ) Jonathan Brody ) Shelley TVrmn ) ) TKTICN Claimants, Eugene and Marie Patipa ("the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Anand Prakash #91-03326 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION For Claimant: The Claimant appeared pro se. For Respondent: James T. McDermott, Esq. of the law firm of Covington & Burling CASE INFORMATION Statement of Claim filed on: October 12, 1991. Claimant's Submission Agreement signed

N.A.S.D. J0MD NATICNMi ASSOCIWICN GF SULJUU1TIE3 EBKEBS In the Jfattar of the Arbitration MBBft of glAin»mi-fg> Elsie Stolic 91-03321 Corporate Securities Group, Inc. Kenneth L* Blank Face nalininf: Bruoe Schragger, Esq. of LaMcenceville, New Jersey. For Responosnts: Ouorles Scarlett, Esq. of Corporate Securities Group, Inc. in Boca Raton, Florida. Statenent of f^»^ filed: October 23, 1991. CLaimant's Sulnission Agreement signed on: Octo

N.A.S.D. AWARD NATIONAL ASSOdATICN OF SBCDRITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant (a) ) Alicia Siduay De Sbrem Marcos Shram Bnilio Shram Antonio Shram Siduay Name of Merrill Lynch Pierce Fenner & Smith. Inc ) Shearson T^>>«nam Button, Inc, ) Maxia Healy ) Esteban Prellezo } Case Nb. 91-03320 Fox* Claimants, Alicia Siduay De < ^""*q» f Marcos .chmam, Bnilio .^>w«n anrf Antonio

N.A.S.D. NftTICNAL ASSOCIATION OF SECORITIES DEALERS In the Matter of the Arbitration Between Name of Clg*«infc(fl) PUBLIC John J. Healey 91-03317 Linsco Corporation Barbara Duf field For Claimant: John J. Healey appeared pro se. For Respondent THnar.r> Corporation: Stephanie L. Brcvaa, Esq., in-house counsel at Tilnsro Corporation in Boston, Massachusetts. For Respondent Barbara Duf field: Barbara Duf field appeared pro se. GRSE Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Susan Young and Clarice Roberts 91-03308 Name of Respondents Prudential-Sac he Securities Inc. Earl R. Betts REPRESENTATION For Claimants, Susan Young and Clarice Roberts ("Young and Roberts 1 '): Daniel R. Taylor. Jr.. Esq. of Petree Stockton. For Respondents, Prudentiai-Bache Securities, Inc. ("Prudential") and E

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between First of Michigan, Division of Fahnestock, Inc. and 01-00810 Southfield, Michigan Giovanni A. Volpe • REPRESENTATION OF PARTIES First of Michigan, Division of Fahnestock, Inc. ("Claimant") was represented by Michael P. Coakely, Esq., Miller, Canfield, Paddock & Stone, PLC, Detroit, Michigan. Giovanni A. Volpe ("Respondent") was represented by Richard W. Paige, Esq., Hon

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ida M. Michelotti Claimant vs. Robert Thomas Securities, Inc. Joseph Johnson Respondents CASE #91-03302 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 22, 1991, Claimant Ida M. Michelotti through her counsel Donald A. Hitzel, Jr. , Esq., of Pretzel & Stoufer, Chicago, IL, alleged that

X.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimantfs) Douglas E. & Kathy A. Sundeen 41-0329^ Name or' Respondent! s) Shearson Leliman Brothers. Inc. Chris Sharer REPRESENTATION For Claimant: Donald G. McGrath. Esq. of Falk ^ Sicincr. For Respondent: Jeffrey A. Sellers, Esq. of Silverherg. Yood. Sellers A: McGorry CASE INFORMATION Statement of Claim Hied: October 22. 199

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter M. & Marion F. Hesson Case # vs. 91-03298 Name of Respondents Tucker, Anthony & R.L. Day, Inc. Richard F. Garrity Cohen Esrey Real Estate Services Inc. UST Investment Advisors Inc. REPRESENTATION For Claimants, Walter M and Marion F. Hesson ("Claimants"), Harry S. Miller, Esq. from the law firm of Shafner &