N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Dr. Joan Bonner Conway 91-01966 Name of Respondent Janney Montgomery Scott, Inc. REPRESENTATION For Claimant Dr. Joan Bonner Conway: Stuart C. Goldberg, Esq. and Seth Lipner, Esq. of the law firm of Deutsch and Lipner, Esqs. For Respondent : Anthony D. Reagoso, Esq. of the law firm of Reagoso and Associates. CASE INFORMATION

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01963 AWARD In the Matter of the Arbitration Between Imagene Fawcett Claimant vs. Prudential Securities, Inc. Rolf Larson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1991, Claimant, Imagene Fawcett by and through her counsel Virginia T. George, Esq., of Albert, Holland & Schwartz, Fort Worth, Texas, allege

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, nf the f.laimaTits PasR Mnmher. 01-00781 Leonid Shpector and Marina Shpector, JTWOS Namfi nf the Respnnriftnte Hearing Site: Washington, D.C. Merrill Lynch Pierce Fenner & Smith, Inc., George L. Balboa, Ray T. Moreau, and Lee D. Weiss. OF P ARTIFS Claimants, Leonid Shpector ("L. Shpector") and Marina Shpector ("M. Shpector 7 *). hereinafter collectively ref

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between nf Howard A. and Mildred T. Beeman Case No. 91-01962 Name of Respondent^ Prudential-Bache Securities Inc. Daniel Pesut For Claimants, Howard and Mildred Beeman ("Beeman"): Richard W. Groner, Esq. , of Snyder, Groner & Schieb. For Respondent, Prudential Securities, Inc. ("Prudential"): James Capezzutto, Esq., of Prudential. For Responden

Arbitration vr A o n Maatm National Association of N.A.S.D. AWARD Securities Dealers, Inc. ^_ NASD Financial Center NATIONAL ASSOdATICN OF SBCDRITTES DEALERS 33 Whitehall Street New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212} 858-4389 Name of Claimants Betty M. Foley, Individually and the Betty M. Foley Trust, Dated December 6, 1969, and Betty M. Foley, Trustee 91-01956 NanjeofResDondfints PaineWebber, Inc. Da

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan M. Heist F/B/0 David B. Loose Claimant CASE #91-01954 vs. AWARD Prudential Securities f Inc. Respondent CASE SUMMARY Pro se Claimant Susan M. Heist, in a claim filed with the National Association of Securities Dealers, Inc. on June 25, 1991, alleged that Respondent Prudential Securities, Inc. recommended the purchase of 400 shares

PUBLIC Arbitration M.A S D AWARD National Association of Securities Dealers. Inc. HKTXCNRL ASSOCIATION OF SBJJklTlfcS DEALERS _ __ _ New /ork. N.Y. 10004 IT. the Matter of the Arbitration Between -AX .212) 358-4389 Mame cf Claimants Andrea Haller, Individually and as Executrix Estate of Arthur Haller Case # vs. 51-01942 Name of Allen Boxer Marc Minkof f Gene Ifrjorjcis Jules Lipow For Clainants, Andrea Haller, Individ

N.A.S.D. AWARD ilRTICNRL ASSOdATICN CEP In the Matter of the Arbitration. Between M. and 91-01940 Anchor National Financial ServicesT Inc. Sam J. Giallanza, John Tlnnn **** janes M. Rapisaxda Claimant was represented by larry R. £*+**** r*~r r Esq., TdnMnnri, N.J. Respondent Anchor National Financial Services, Inc. was i t-inracfitrd by John. J. Nlogoxski, Esq. and John Hoopes, Esq. of MDhr, Eackett, Pederscn, Blafcley, Randolph & Sa

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald & Arlene Kent vs. NASD #91-01926 Q£ Pmdffn tlal -Barhe Securities, inc. John Palmar Donald Reiss For Claimants: James C. Krause, Esq., San Diego, California. For Respondents: Terry Ross, Esq., Keesal, Young & Logan, Long Beach, California. Statement of rnalm filed: June 21, 1991 SubBELfisioQ Agreements signed on: June 14, 1991

Final Order NASD Dispute Resolution In the Matter of the Arbitration Between: Ofek Gloger, (Claimant) vs. Salomon Smith Barney Inc., Greg Roth, Ruben Ricardo, and Mark Esquenazi, (Respondent) Case Number: 01-00775 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Ofek Gloger, hereinafter referred to as "Claimant", appeared pro se. Respondents Salomon Smith Barney Inc. ("SSB"), Greg Roth ("Roth"), Ruben Ricardo ("Ricardo"), and Mark