® N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between ) ) Name of Claimant?s) ) ) Ardell Kauth ) ) ) ) Tteme of Ttemnnriant-fs ^ ) ) A.G. Edwards & Sons, Inc. ) Robert Jones ) Arbitration National Association of Securities Deslere, Inc. One East Steward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 91-00427 For Claimant, AroJ

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEAUERS _ In tJie *fatter of the Arbitration Between Marian Anfuso 91-00424 Name of P og " n njdBntV( s) Robert Dianas Securities, Inc. Richard Caridi > ,' i ». * irf I • «. Claimant represented herself. Respondents ware represented by Paul L. Matecki, Esq. Statement of Claim filed: February 8, 1991 Claimant's Submission Agreement signed on: January 15, 1991 Joint Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE f91-00417 AWARD In the Matter of the Arbitration Between George Skaperdas Claimant vs. Ladenburg/ Thalmann & Co., Inc. Charles Colchamiro Respondents CASE SUMMARY George Skaperdas, Pro Se f in a claim filed with the National Association of Securities Dealers, Inc. on February 7, 1991, alleged that his broker at Ladenburg, Thalmann & Co., Inc. Charles Colchamiro, neglig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betvreen Name of Claimant Robert M. Sisco 91-00414 Name of Respondents Olde Discount Corporation Scott Trello Rodney Bowman For Claimant: Lloyd S. Clareman, Esq. For Respondents: Francis R. Ortiz, Esq. ram Statement of Claim filed: February 5, 1991. Claimant's Submission Agreement signed on: January 31 , 1991. Joint Statement of A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant (s) ) John ftnirlo ) ) Case No. 91-00413 Name of Respondent(s) ) Merrill Lynch Pierce Femer & Smith Inc ) Lynn S. Spinella ) For Claimant, John Sourlo ("Smorlo"): Russell L. Forfcey, Esq. For Respondents, Merrill Lynch, Pierce, Femer & anith, Inc. ("MLPFS") and Lynn S. Spinella ("Spinella"): Gill Freeman, Esq. of Ruden Barnet

N.A.S.D. -AWARD NATIONAL ASSOCIATICU OF SfcLURi'lMJS Lhe Matter or tie Arbitration. Between Antoinette Yaamanno Joanne Schif f Joseph Tusa Wayne Breanessei Kathy BrBg»w^*«*>i Georgette Alexander fTat-ttfinTV 81 ^T-^^grv? 91-00411 Mame of Philip R. 'nrrrrvaia Time Capital Securities Corp. For Claimant: U.oyd S. Claranen, Esq., Sole Practiticner. For Respondeat, Philip R. Inoorvaia: Richard M. Gelb, Esq. of Gelb & F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Qma'jeanne J. Albrecht Rebecca J. Lipp, JTTEN vs. Dean Witter Reynolds, Inc. Scott James Claimants Respondents REPRESENTATION CASE* 91-00410 AWARD For Claimants: For Respondents George Leroy Moran, Esq. of the law firm of Kellogg, Krebs & Moran, P.C. Melinda Socol Herbst, Esq. CASE INFORMATION Statement of Claim filed: Februa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Raymond F. Heesch 90-03113 Name of Respondents Raymond, James & Associates, Inc. Robert Thomas Securities, Inc. Raymond F. Heesch appeared pro g&. Robert Ttaones Securities, Inc. and Raymond James & Associates, Inc. were represented by Paul L. Matecki, Esq., General Counsel. In a Statement of Claim filed with' the National Association of Se

In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-00714 Jeffrey Passalino Name of the Respondents Hearing Site: Chicago, Illinois Protective Group Securities Corporation, Steven Grau, and Stephen Molinari REPRESENTATION OF PARTIES Claimant, Jeffrey Passalino ("Passalino"): John A. Dienner, Esq. of the firm Kubasiak, Fylstra, Reizen & Rotunno located in Chicago, Illinois. Respondents Protective Group Securities Corporation ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard D. Rubin, M.D. vs. Case# 90-03106 Name of Respondents Victor Wegard Louis Arbrmovitz REPRESENTATION Claimant Richard D. Rubin, MD. ("Claimant"), Mary Ann Stokes, Esq. and Peter S. Pearlman, Esq. from the law firm of Cohn Lifland Pearlman Hermann & Knopf. For Respondent L. C. Wegard & Co., ("L.C. Wegard"), Lawren