NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASB #91-03920 AWARD In che Matter of the Arbitration Between Spencer M. Krueger & Mary C. Lefevre Claimants vs. William A. Blick David Marshall Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10, 1991, Claimants, Spencer M. Krueger and Mary C. Lefevre, who appeared Pro Se, alleged that Respondents, William

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jack B. & Kitty R. Perry Claimants vs. wilshire Securities, Inc. Wedbush Morgan Securities, Inc. Respondents CASE #91-03919 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 10, 1991, JacJc B. & Kitty R. Perry who appeared Pro Se, alleged that Respondents Wilshire Securities, Inc

. K.A.S.D. ANAKD NATICNAL ASSOCIATION OF SHL.TJklT.LES DEALERS In the Matter of the Arbitration Between T ) Name of ri Richard Nozzolese ) Jeffrey Rice ) Howard Kassof } ) Case No. 91-03916 Name of BesmvWit (s) ) == _ m== ^^ ===±=±= ^ PaioeWetber, Inc. ) David Spann ) For Claimants, Richard NUzzolese ("Nuzzolese") , Jeffrey Rice ("Rice") and Howard Kassof ("Kassof N ) : Michael Harris, Esq. of Lewis, V

N.A.S.D. AWARD NATICHAL ASSOCIATION OF SHJUKJ.T1ES DEALERS In the Matter of the Arbitration Between Name Of Virginia A. Johnson NASD Arbitration Nb.91-03913 Name of Respondents Edwin E. Lickiss Danville Financial Group, Inc. T.-ingfy* Financial Group, Inc. Tii nsco/Prlvate Ledger Corp. Financial Network Investment Corp. For Claimant: Darryl P. Rains and William N. Gerson of Marrison & Foerster For Respondent: Financial Network In

N.A.S.D. AWAKE NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Eli Vigllano Eli Vigil ano TIEE F/B/O Fannie Vigil ann 91-03912 of Charles Schwab & Gcnpany, Inc. For daimant: Richard G. Fontana, Esq. of Farrauto, Tto»Tnan Montana & Selznick. For Respondent; Daniel Brooks, Esq. of the Law Offices of Daniel Brooks. Statement of Palm filed: January 3, 1992. Claimant Eli Vigliano's Sukmission Agreane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Morris Goldberg 91-03908 Name of Respondents PaineWebber. Inc. Tom Byer REPRESENTATION For Claimant: Marvin A. Jaffe. Esq. a sole practitioner. For Respondents. PaineWebber. Inc. and Tom Byer: James E. Farnham. Esq. of Hunton & Williams. CASE INFORMATION Statement of Claim filed: February 10, 1992. Claimant's Su

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eileen Foytho 91-03904 Name of Respondents Shearson Lehman Hutton, Inc. Victor Alibrandi Eric Lento REPRESENTATION ' For Claimant, Eileen Foytho ("Foytho"): Debra Herman, Esq. of Tew & Garcia-Pedrosa. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Victor Alibrandi ("Aiibrandi"): Lonnie Browne Zangrillo,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATIONS BETWEEN FIRST MONTAUK SECURITIES CORP. J FIRST MONTAUK FINANCIAL CORP., f CLAIMANTS i V. CAROLS GERSTENBLUTH, EDWARD GLUECK, JUDITH GLUECK, JULIUS SCHREIBER, HELEN SCHREIBER and PAUL R. CASE NOS. 91-03895; 91-03896; and 91-03897 (consolidated) AWARD BY CONSENT RESPONDENTS < > CASE SUMMARY Claimants, First Moritauk Securities Cor

I Revised Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: BBBB, LP v. PaineWebber, Incorporated, PaineWebber Group, Inc., UBS Warburg LLC, UBS AG, and EricWormser Case Number: 00-05289 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant BBBB, LP( "BBBB") was represented by Jack H. Halperin, Esq, located in New York, New York. Respondents PaineWebber, Incorporated ("PaineWebber"), PaineWebber Group, I

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. -N THE MATTER OF THE ARBITRATIONS BETWEEN FIRST MONTAUK SECURITIES CORP. > FIRST MONTAUK FINANCIAL CORP., ] CLAIMANTS > V. CAROLE GERSTENBLUTH, EDWARD GLUECK, JUDITH GLUECK, JULIUS SCHREIBER, HELEN SCHREIBER and PAUL R. CASE NOS. -91-03-895; 91-03896; and 91-03897 (consolidated) AWARD BY CONSENT RESPONDENTS \ CASE SUMMARY Claimants, First Montauk Securities Corp. and Fi