Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant The Caplan Family Trust Case No. 01-00670 Names of Respondents Louis Joseph Bacher, Jr. Hotovec Pomeranz & Co., Inc. Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For The Caplan Family Trust (the "Trust"), hereinafter referred to as "Claimant": Robert C. Port, Esq., Hassett Cohen Goldstein Port & Gottlieb, LLP, Atlanta, Georgia. F

Arbitration N.A.S.D. ANARD NKFICNftL ASSOdOPICN OP SECURITIES DERtHG National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York ' New York 10004 In the Matter of the ArMtiaticn Between vf ClaJIDg"f Salvatore Pellettiere Case # 90-01406 Carl Balzanti Heard before: John S. Van Duser Public This claim was initiated by a Statement of Claim filed with the National Associ

N.A.S.D. AWARD ASSOCIAnCtT OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ellen Jane Dronol and William E. Dransl, Trustees for the Robert E. Dranel 1973 Trust vs. 90-01401 Name of RMpcpdent (a) Sbearscn Lstnan H^ffr^tj inc. Ronald D. For daiaaantst Stuart D. Tbchnor, Esq., Fftjffp** 1 *' 8 - and Itoba, Beverly HUls, Fbr ReapCDdeatss DBBMI Stilwell TtMnrtntrn^ Esq., Keesal, Young & Logan, Loog

90-01393 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James and Suzanne K. Donoracki Mane of Respondents Wesley Hayne Hayne Miller and Swearingen, Inc. ram sraaftRT -- - .. . In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about May 16, 1990, James and Suzanne K. Dororacki ("Claimants") alleged that Wesley Hayne their registe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant(s) vs. 90-01391 Tyronne Hubbard Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Dean Witter Reynolds, Inc. alleged that Respondent(s) Tyronne Hubbard failed to pay a debit balance on his account. Respondent did not defend. RELIEF REQUESTED Claimant(s) Dean Witter Reynolds, Inc. request

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. "r. The Matter of The Arbitration Between: "3HAEL SHURKIN CLAIMANT AWARD f90-01390 V. 33SITH BARNEY, HARRIS UPHAM & CO. f -~KCENT AFPLIXIO AND -IARVEY RABINER RESPONDENTS CASE SUMMARY The Statement of Claim was filed with the NASD, Inc. on May 15, 1990. Claimant, Israel Shurkin alleged that Respondents, Smith Barney, Harris Upham & Co., (Smith Barney) Vincent Afflixio (Affl

N.A.S.D. AWARD NATIONAL ASSOCTKTXCN OP SBCDRITIES DEAIERS In the Matter of the Arbitration Between Of George & Bessie Gams 90-01387 Name of Shearscn T^AMM* Huttcn, Inc. Jack Spyridikas Claire Bcyles Heard before: Nane Public/Industry Robert Volk, Esq. Public Arbitrator Cornelius J. Mnftulif f e, Esq. Public Arbitrator William J. Aziz Industry Arbitrator Claimants were represented by Leslie Nixon, Esq. of the law firm of Nixon

NATIONAL ASSOCIATION OF SECURITIES DEALERS INC In the Matter of the Arbitration Between Manju Ahuja Claimant AWARD vs. Olde Discount Corporation John Perry Respondents #90-01385 CASE SUMMARY - Claimant alleges that she purchased shares of General Nutrition Corp or July 20, 1989. She states that she tried to rectify the fact that a checJ- for insufficient funds was tendered for the purchase by contacting her broke: and having the

AWAED NASD Dispute Resolution, Inc. In the Matter of the Arbitration JBetween Name of Claimants Isaac H. Zacharia, Maryann Zaclharia, and J. Michael Suarez, M.D. and 01-00669 Scottsdale, Arizona Name of Respondents Advest, Inc. Richard B. Day REPRESENTATION OF PARTIES Isaac H. Zacharia, Maiy aim Zacharia, and J. Michael Suarez, M.D. ("Claimants") were represented by Robert D. Mitchell, Esq., of Mitchell Law Offices, P.C., and Martin R. G

N.A.S.D* AWARD Arbitration NrtoneJ Association ol _ SecurtUe* DMtor*, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS One East Broward Boulevard Suite 1000 _ Ft. Uuderdale, Florida 33301 In the Matter of the Arbitration Between t 305 * 522-7391 Angelo J. and Roda Piciullo 90-01381 (ttneofBejgpon^ntfs) PaineHebber, Inc. Jeffrey H. Rosa Heard before the Arbitrator: Michael R. Casey, Esq. Public CASE suMorcr This claim w