N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant E. L. Maytag 91-03481 Name of Respondents Prudential-Bache Securities Inc. Dennis Gitlin REPRESENTATION For Claimant, E.L. Maytag ("Maytag"): R. Lawrence Bonner, Esq. of Greer, Homer and Bonner, P.A. For Respondents, Prudential Securities, Inc. ("Prudential") and Dennis Gitlin ("Gitlin"): Brian D. Elias, Esq. of Fowler,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Paul and Joan Altman CASE #91-03480 Name of Respondent OTRA Clearing, Inc. REPRESENTATION For Claimant: Cynthia DiBartolo, Esq. of the law offices of Noah, Singer, Sayid & DiBartolo. For Respondent : Scott Monson, Esq. in house counsel at Otra Clearing, Inc. CASE INFORMATION Statement of Claim filed: November 4, 1991. Claimant's Sub

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC., In che Matter of the Arbitration between Virginia Trading Co. Claimant vs . Stifel Nicolaus & Co., Inc. Mike Taron Respondents CASE #91-3477 AWARD PUBLIC CASK SCTMRRY In a claim filed with National Association of Securities Dealers, Inc., on November 5, 1991, Claimant, Virginia Trading Co. through it' s representative Edward Groseclose, alleged that Respondents Stifel Nico

N.A.S.D. AWARD Associanai OP m«imm'ms DEALERS In the Matter of the Arbitration Between of Faraiooon A. Oshtory F, Oshtoxy NASD Arbitration Mb. 91-03476 Name of Merrill Lynch, Pierce, Fenner & anith, Inc. Ricardo A. Granadbs Larry Petty Franic Quacinella For (Hainan t: Robert E. T^ v "^ | H f F > j- Eacj* - CZxrt Fraoc co For Respondent: Cbarles L* Beaderaca r - Merrill Lynch - N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Wendy & James Wightman 9 [ -03473 Name of Respondent! s) The Investment Center Inc. Edward Yates Gary Trump REPRESENTATION For Claimants, Wendy Wightman and James Wightman ("Claimants"), Dominic J. Paratore, Esq., from the law firm of Gabrielle & Paratore, P.C. For Respondent, The Investment Center. Inc. ("Id"), Ralp

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CftSE #91-03469 AWARD In the Matter of the Arbitration Between Burt Reany Claimant vs. Madison Chapin Associates, Inc. OTRA Clearing, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 4, 1991, Claimant, Burt Reany who appeared Pro Se, alleged that in July, 1991 Respondent, Madison Chapin Associates, Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of Claimant Kevin P. and Jill Walker Case No. 00-05266 Names of Respondents D.L. Cromwell Investments, Inc. Francis Louis Smookler, Jr. Hearing Site: Charlotte, North Carolina REPRESENTATION OF PARTIES For Kevin P. and Jill Walker, hereinafter referred to as "Claimant": Nicholas D. Thomas, Esq., Raleigh, North Carolina. For D.L. Cromwell Investments, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony Galizia Case # vs. 91-03460 Name of Respondents Mike Pitsokos Lew Lieberbaum & Co. REPRESENTATION For Claimant: Andrew Hoffman, Esq. for the law firm of Wiseman, Hoffman & Walzer, Brooklyn, New York For Respondent: Lew Lieberbaum & Co., Inc. ("Lew Lieberbaum") represented by Jay Israel, Esq., Associate Direc

Arbitration © National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATICNAL ASSOCIATION OF .qumui'i'iRg EERLERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between Name of Claimant Maida M. Richman 91-03454 Name of Respondents Kidder, Peabody &. Co., Incorporated John Hedden For Claimant Maida M. Richman, John P. Connolly, Esq. of the law firm of Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Guy P. Wyser-Pratt vs. Case #91-03453 Name of Respondents Prudential Securities, Inc. Prudential Insurance Company REPRESENTATION For Claimant, Guy P. Wyser-Pratt ("Claimant"), Michael J. Dell, Esq. from the law firm of Kramer, Levin, Nessen, Kamin & Frankel. For Respondent, Prudential Securities, Inc. ("PSI") and Prudentia