PUBLIC N.A.S.D. AHBKD NRTICNRL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between of Terry Harper 91-00508 Q£ pagprmrtenfag Brothers, Inc. The Rnhlnann Hinnfljrey Company, Inc. William L. Ef finger, III Oscar Ayala, Jr. For Claimant: Mark H. Levison, Esq. and Howard S. Staotkin, Esq. of the law firm of Rieanan & Blitz, P.O. For Respondents: .gho^T-pon Lehman Brothers, Inc., The Robinson Hmt|j1 n ty

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kama of Claimant Helen Lanzetta 91-00502 Name of Respondent Robert Ta-itrnan For Claimant: John J. Evans, Esq. of the law firm of Collins & Evans, P.C. For Respondent: Robert Laitznan appeared pro se. CASE Statement of Claim filed on: February 11, 1991. Claimant's Submission Agreement signed on: December 31, 1990. Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joyce Mertz, Individually, and as Trustee of the Joyce T. Mertz Revocable Living Trust U/A/D December 17, 1989 91-00499 Name of Respondents Kidder, Peabody & Co., Incorporated Timothy J. Sheehan REPRESENTATION For Claimants {"Claimants"): Stuart Sinai, of Kemp Klein et al. For Respondents Kidder Peabody & Co,, Incorpor

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00723 James P. Wandell, Claimant vs. Family Incoming Planning Inc., Respondent. ATTORNEYS: Claimant, James P. Wandell, appeared pro se, Amityville, NY. For Respondent appeared Jacqueline M. Westbrook, President, Southern Pines, NC. DATE FILED: February 13, 2001 ~~~~ CASE SUMMARY: Claimant alleged that respondent failed to pay him commissions at 60% as previously agreed to, due to c

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SHUUkiTlfiS In the Matter of the Arbitration Between Name of Jill Stern Capcon Prudential Securities Inc Banpehlre Securities Corporation Stuart, Goleman & Go. Jose Maiorino Martin J. Roteeach Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-00497 For Claimant, Jill Stern Caproa

Arbitration N.A.S.D. AWARD- NATIONAL ASSOCIATION OF SECURITIES DEALERS ~L. the Matter of the Arbitration Between of 91-00496 Richard & Julia Karn Name of Rfispnndpnta F.S.G. Financial Services Group, Inc. Q & R Clearing Corporation. Metlife Securities Inc. Amnon Ben-Aroya David Flanzer National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212)858-4

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Raymond and Regina Kohl Claimants vs . AWARD Gruntal & Company, Inc. Joel M. Seidel , Respondents CASE #91-00490 CASE SUMMARY Raymond and Regina Kohl by their attorney Alice J. Tillger of Dessen, Moses & Sheinoff, Philadelphia, PA, in a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1991, alleged th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Morris J. Amitay Claimant vs. Gary S. Williky James Padgett Respondents CASE #91-00487 AWARD .CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 13, 1991, Claimant Morris J. Amitay, through his counsel Judith Barnett, Esq., Washington, DC, alleged that Respondent Gary S. will iky of Stuart Jam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Ocatart, Inc. NASD Financial Canter 33 Whitehall Street New York. New York 10004 In trie Matter of the Arbitration Betvreen Name of Earlie D. Prince, Sr. & Marion Prince 91-00483 Name of Respondents: A.G. Edwards & Sons f Inc. Fidei Sanchez For Claimants: Theodore Sager Jfeth, Esq. of Math, Woehling & Freeman.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betvreen ) ) Name of flaimant(s) ) ) Aaron and Diane Rosenthal ) ) ) Case No. 91-00481 ) Name of ResTondenti'sl Heard before the members of the Arbitration Panel: Robert Kasky, Esq. Public Robert L. Hudson Public Richard B. Frost Industry Claimants, Aaron and Diane Rosenthal ("Rosenthals"), were represented by Russell L. Forkey, Esq