NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration^ Between ) ) Mitchell C. Green ) Claimant ) ) AWARD vs. ) ) NASD #91-00590 Kidder Peabody & Company ) Craig Dimond ) Respondents ) ) REPRESENTATION Claimant represented himself. Respondent Kidder Peabody & Company was represented by in- house counsel, William Phelps, Esq., Los Angeles, California. Craig Dimond represented himself, but di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ralph S. Burch No. 91-00588 Name of Respondents Shearson Lehman Huttony Inc. Rodman & Renshaw, Inc. Lester W. Rodgers REPRESENTATION OF PARTTK5 For Claimant: Paul F. Harvey, Esq. and Dennis Bell, Esq. of Bell & McGurk, Chicago, Illinois'. For Respondents Shearson Lehman Hutton Inc. and Lester W. Rodgers: Thomas M. K

ASSOCIATION CF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Steven J. dementi vs. tfecne of Respondents Sichard Wynfcoop, Richard Sacfcs Sacfcs Investment Ccnpany, ^nc. 91-00573 For Claimant: Steven J. dementi For Respondent: Richard Wyntoop - William Ziering, San Francisco, California. For ReapcpAsnta: Richard Sacks and Sacks Investment Ccxnpany, Inc. - Richard Sacfcs Ziering. CRSB Statement of Claim filed

NASO N.A.S.D. AWARD NKTIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Betvreen Helen P. Paris 91-00570 Richard King Tte totoinsan-Hunphrey Co. r Inc. Star Claimant: Allan P. Harris Esq. of the law firm of Allan P. Harris & Associates. Fbr Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRITIES DEALERS la tne Matter of the Arbitration Between of Louise Remney 91-00567 PaineWebber, IDC* Arnold Marks For Claimant: David M. Clark, Esq. of dark Wharton & Berry. For Respondents: Gary J. Stegeland, Esq., In-b3use Oaunsel for PaineWebber, Inc. Statement of na-hn filed: February 21, 1991. Claimant's Submission agreement signed on: January 17, 1991. Joint Statanent of Answer of Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of da-hmnt(s) Martin L. & Margaret L. Waldrmn 91-00565 Name of Respondent (s) PUBLIC Barney Harris Ujaham & Co., Inc. Arlid T. Qstensen Far Claimants: Ttnxes D. Giacnetti, Esq. of Stark & Stark in Princeton, Jersey. For Respondent anith Barney, Harris T]£bam & Co. , Inc. : Susan E. Harkins, Escf. of anith Barney, Harris Upham & Co.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Karen D. Shenker, (Claimant) vs. First Republic Group, LLC, Bear Stearns & Co. Inc., Bear Stearns Securities Corp., Inc., Andre Grant, Chet Harris, Al Vega, and Tony LaGrega, (Respondents) Case Number: 01-00732 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Karen D. Shenker, hereinafter referred to as "Claimant": Lawrence R. Gelber, Esq., Attorney at

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name Qf_Claimantfs'i ) Joseph Maenza ) Name oj Case No. 91-00560 Shearson Lehnan Hutton, Inc. For Claimant, Joseph tteenza ("Maenza"): Howard N. Kahn, Esq. of Atlas, Pearlman & Trop, P.A. For Respondent, Shearson Lehman Hutton, Inc. ("Shearson"): William A. Hohauser, Esq. of Shearson. Statement of Claim filed: February 20, 1991. Claimant'

NASO N.A.S.D. NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anthony & Josephine Giordano vs. David Lerner Associates Richard Burack For Claimant: Franklin D. Qxmsten, Esq. of For Respondent: Robert J. Hume, III, Esq. Statement of Claim filed: February 19, 1991. Claimant signed Submission Agreement on: February 11, 1991. Joint Statement of Answer filed on; Hay 6, David Lerner Associates, Inc. sign

HJBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Edward & Josephine Zita, JT/WROS vs. Gruntal & Co., Inc. Hal Rose Catherine Monteforte Between claimants Respondents 1991, alleged account In a claim filed with the Dealers, Inc. on February 20, Zita, who appeared Pro Se, Catherine Monteforte, an branch office of Respondent, recommended Claimants purchase bonds (the "Fu