N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ^ Claimants Joseph and Louisa Zullo 91-00544 Name of Respondents Janney Montgomery Scott, Inc. Adrienne Bauer For Claimants: Robert J. Donaghy, Esq. For Respondents: Richard S. Israel, Esq. of the law firm of Archer & Greiner CASE INFORMATION Statement of Claim filed: February 20, 1991. Claimants' Submission Agreement signed on: Feb

HJLS.D. AWARD NKTICKAL ASSOCIATION OF SBCQRIHES DEMURS la the Matter of tbs Arbitration. Between Huffman 4th & Goal Corporation BbZV H* Hbrf-ftiam £* Prudential -Bacbe Securities, IDC. Rick Martin For dainantsi pro se. Fbr Reflpcodeotflj Paul fll^npnnft, Esq. of Prudential Securities, New York, Hew York. daimat's Statement of Halm filed: February 19, 1391. Claimants *HMMIJI aaffnan and Mary Bu£fiDan f as -irirt< viAuiip f

Arbitration ® " National Association of NASD AWARD S«curWe« Dealers, Inc. ™ .**.i3«A*. JWUUJ _ _ , -. . n , , One East Broward Boulevard ,^_ Suite 1000 NRTICNAL ASSOCIATION OP SBOTUTIES DEALERS Ft. Uuderdale, Ronda 33301 (305) 522-7391 In the Matter of the Arbitration Between ) ) Name of Cla-JTnantts) ) ) Kannon Party Design, Inc. et. al. ) ) ) Case No. 91-00541 ) Name of Respondent (s) ) ====*=*===*= }

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Norman Blattberg Claimant vs. AWARD Dominick & Dominick, Inc. Respondent CASE #91-00540 CASE SUMMARY Claimant Norman Blattberg, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on February 20, 1991, alleged that Respondent Dominick & Dominick, Inc. misrepresented to him units of Insured Municipal investment Trus

NASD Dispute Resolution Arbitration No. 01-00731 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Cori R. Bland, (Claimant) v. Goldman, Sachs & Company, (Respondent) Case Number: 01-00731 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cori R. Bland, hereinafter referred to as "Claimant" appeared pro se. Respondent, Goldman, Sachs and Company, hereinafter referred to as "Respondent"

NASD DISPUTE RESOLUTION AWARD NASDDISPUTE BESOmnON. INC. _ __ CASH; 00-00644 Mark Van Mourick, claimant vs. H. Beck, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Dana Point, CA. Claimant was formerly represented by William M. Turner, Esq~ of the firm Jones, Bell, Abbott, Hemming & Fitzgerald, LLP. For Respondent appeared iut-house counsel Gary S. Hurvitz, Rockviile. MD- DATE FILED: February 11, 2000 CASE SUMMARY: Claimant alleged that res

:i.A.S.C. AWARD :IATIONAL ASSOCIATION OF SECURITIES 3EALEKS In tr.e Matter of tr.e Arritra_i~r. 3ec^eer. Mame of Claimanrfqi Molly Benani Seigel 91-00535 Sacks Investment Company Inc. Richard Sacks Melvyn Richard Simons >5olly Benard Seigal was represented by Michael Seiqal. Ricnard Sacks represented himself and" Sacks Investment :-telvyn Richard Simons represented himself. Tins matter was initiated by a Statsnent :f Claim files --/ith ~

N.A.S.D. ANARD NKTICMAL ASSOCTXnCN OF SECURITIES DEM£RS In the Matter of the Arbitration Between Q£ L. John Lewis vs. NASD #91-00533 Name of Reaprmflpnts First Eagle, Inc. Joazmie Merwyn For Claimant: Raoda_i.l N. Skanchy, Esq., of Jones, Waldo, Holbrook & MdDoncugh, Salt late City, Utah. For Respondent (First Eagle) : Barry W. Partner, Denver, Colorado. For Respondent CMerwyn) : J. Merwyn pro se. Statonent of Claim filed: February 1

N.A.S.D. AWARD ASSOCTATICN OF SECQRXTIES In the Matter of the Arbitration Between Name of Claimant ^^^^^BBSSSS^=^^K^KB Dean Securities, a Washington Partnership NASD Arbitratiott No, 91-00532 Name of Respondents Thomas 6. Nauman g™^ Kl&ley M. Nauman, wife, anf * frVift4T» marital community; and Alfred 6. Nauman and Evelyn F. Nauman, -mar-if-al For Clainant: Michael R, Scott, Esq., Hlllis Clarfc Martin & Peterson, F.S.

NATIONAL ASSOCIATION OF^SECURITIES DEALERS? INC. In the Matter of the Arbitration Between Christopher J. McDonald Claimant vs. PaineWebber, Inc. Charles Verner Respondents CASE #91-00528 AWARD CASE SUMMARY Pro Se Claimant, Christopher J. McDonald, in a claim filed with the National Association of Securities Dealers, Inc. on February 19, 1991, alleged that Respondent Charles Verner at PaineWebber, Inc. in Lauderdale-by-the-Sea, Fl