N.A.S.D. AWARD NATICHAL ASSOCIATION OF SBCDRTTHS DEALERS In the Matter of the Arbitration 3etw«=Qi Name of Claimant Susan K. Goddard 91-01923 pf pAqyvTn^gnt ~".. -»••, Securities Inc. For Claimant: Buckner Wellford f Esq. of Thorason, Hendrix, Harvey, Johnson, Mitchell, Blanchard & Adams, Meaphis, Tennessee. For Respcodent: Gerard Kowalski, Esq. of Prudential Securities, Inc., New York, New York. GRSB Statanent of cna

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carl E. Bock Claimant vs. Quick & Reilly, Inc. Paul D. Zdeb Bruce W. Bratt U.S. Clearing Corp. Respondents CASE #91-01922 AWARD CASE SUMMARY "in a claim filed with the National Association of Securities Dealers, Inc. on June 20, 1991, Claimant Carl E. Bock, who appeared Pro Se, alleged that Respondents Quick & Reilly, Inc., Pa

Arbitration National Association of Securities Dealers, Inc. N.A.S.D. AWARD NASD Finamral Center 33 Whitehall Street NHTCNM, ASSOCTATICN OF SBCDRTTIES DEftLERS In the Matter of the Arbitration Between Name of Claimant PaineWebtoer, Inc. Case # vs. 91-01921 Name of Michael Bloomberg For Claimant: Edward Werner, Esq., in-hcruse counsel. For Respondent: Respondent did not appear. Statement of Claim filed: June 19, 1391. Clai

N.A.S.D. FINAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Antonetta and Frank Franzone Antonetta Frazone, Custodian ORDER 91-01919 Name of Respondent(s) Shearson Lehman Brothers, Inc. Kenneth Miller The undersigned arbitrators have considered the written submissions and oral argument presented by the parties relative to the Respondents 1 Motion to Dismiss the Cl

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 10004 FAX (212)853-4389 Name of Claimant (s) Irene P. Alterbaum 91-01917 Name of Respondent (s) Gruntal & Co., Inc. Jacob Meyrowitz For Claimant: Stephen G. Rinehart, Esq. of Parker, Chapi

N.A.S.D. JWARD NRHCNAL ASSOCTOTCH OF SECURITIES DEALERS In the Matter of the Arbitration Between of Richard J. & Mildred L. Sisson 91-01914 J*W. Gant and Associates* Inc. Jfcrvin Mitchell, and Hoyce Park Investments, lac. Claimants, Richard J. gnd Mildred L. Sisson were represented by Robin C. Carter, Esq. of rA-n^an^ ChHta & Fields of Tucson, Arizona. Respondent, J. H. Gant and Associates, Inc. was represented by Gordon D* Dible, Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Howard Leung and Shirley Leung Benita Leung Fay Horn and Brian Horn 91-01913 Names of Respondents G K Scott & Co. Inc. Wakefield Financial Corporation Kelly Trading Co., nka Minelia, Rich Co. Alexander Minelia Keith Minelia John Kevorkian George Kevorkian Parsons Eng Tiffany, Ltd. etal REPR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Catherine Grimes No. 91-01910 Name of Respondents Smith Barney, Harris. Upham & Co., Inc. George Owen REPRESENTATION OF PARTIES For Claimant: Kenneth B. McClain, Esq. and James M. Ziegler, Esq. of Humphrey, Farrington & McClain, P.C., Independence, Missouri. For Respondents: Alejandro Schweb, Esq., Vice President, Law Depart

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. Dundon and Janet Clayton, (Claimants) vs. Ameritrade, Inc. and Advanced Clearing, Inc., (Respondents) Case Number: 01-00774 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John W. Dundon ("Dundon") and Janet Clayton ("Clayton"), hereinafter collectively referred to as "Claimants": Patrick J. McGrath, Esq., a sole practitioner, Amityville, NY.

Arbitration N.A.S.D. AH&RD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N*™» Of Cl^iTrant- Iris Yaskal, Est. of Bernard Yaskal 91-01903 Name of Respondents Shearson Merton Mitchell Brothers, Inc. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant Iris Yaskal administratrix for the Estate