N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants - ~ John Lane & Robert Panarello 91-03450 Name of Respondents Bailey, Martin & Appel Inc Charles Marwell, III Stephen Harrington Howard Appel REPRESENTATION For Claimants John Lane & Robert Panarello ("Claimants"): Messrs. Lane and Panarello represented themselves. For Respondents Bailey, Martin & Appel Inc. ("Bail

NJLS.D. AWARD ASSOCXKTICN OF SECURITIES DEMJ3RS In the Matter of the Arbitration Between Qf 91-03445 Of pn^|n'rv^on^q , lac. Michael Wheelock For Claimants: pro se. For Respondents: Gregory J* Stenmoe, Esq. of Briggs and Hargan, Minneapolis, Minnesota. rag* Statement of Halm filed November 4, 1391. Claimant's Submission Agreement signed en October 25, 1391. Joint Statement of Answer filed by Respondents on DftTfirfrer 30, 159

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Stephen and Gertrude Ingrassia Claimants vs. Robert Gerek Prudential Securities, Inc. Respondents CASE #91-03437 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 1, 1991, Claimants Stephen & Gertrude Ingrassia who appeared Pro Se, alleged . that Respondent Prudential Securit

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03427 AWARD ~n the Matter of the Arbitration Between Marian Nail Martin Claimant vs. w. Johnston King Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 31, 1991, Claimant Marian Nail Martin, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hornblower & Weeks, Inc. and CJR Equity LLC, (Claimants) vs. Christopher Shawn Murphy, (Respondent) Case Number: 00-05264 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Hornblower & Weeks, Inc. ("H&W") and CJR Equity LLC ("CJR"), hereinafter collectively referred to as "Claimants": Frank J. Zazzaro, Esq., Imperial, Zazzaro & Calabro, P.A., Montclair, NJ.

N.A.3.D. AWARD ' "ATICNAL ASSOCIATION OF SECURITIES DEALERS In "ne Mat~er of the Arbinration 3etween Name cz Claimant Andrew Linz 91-03421 Name of Respondents Wakefield Financial Corp. Alexander G. Mineila REPRESENTATION For Claimant Andrew Linz '"Claimant":: Robert 3. Weintraub, a sole practitioner. For Respondent Wakefield Financial Corp. ("Wakefield") and Alexander G. Mineila ("Mineila"): Francis J. Murray, a sole practitioner

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between James & Verna Wilson Claimants vs. J.W. Gant & Associates, Inc. Kenneth Lowman Respondents CASE #91-03417 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1991, Claimants, James & 'Verna Wilson who appeared Pro Se, alleged that in July 1987 they opened an account with Respondent, Kennet

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03416 AWARD In the Matter of the Arbitration Between Marvin L. Porten Claimant vs. Waterhouse Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1991, Claimant, Marvin L. Porten", who appeared Pro Se, alleged that Respondent, Waterhouse Securities, Inc. delayed in the execution of a Zero

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin C. Hill 91-03413 Name of Respondents Patrick J. Coty Mary Beth Williams John Glenstrup Corestates Securities Corp. Corestates NJ National Bank National Financial Services Corp. REPRESENTATION Claimant. Edwin C. Hill ("Claimant") represented himself. For Respondents. Patrick J. Coty ("Coty"), John Glenstrup

PUBLIC NATIONAL ASSOCIATION"OF SECURITIES DEALERS, INC. CASE #91-03411 AWARD In the Matter of the Arbitration Between Edward C. Aselman, Jr. Claimant vs. Shearson Lehman Button, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1991, Claimant Edward C. Aselman, Jr. who appeared Pro Se, alleged that on September 1, 1988 Respondent Shearson Lehman Hutton, Inc., by