N.A.S.D. MOD ASSCdAHCN OP smiim-iUM DEALERS the Matter of the Arbitration Between M3IDS Of Tony Piore 91-03158 Shearson l^Ywrnn Brothers, Inc. Richard For Cladaant: Anthony Hem, Esq. of Philadelphia, Pennsylvania. For Respondent Shearson T~****~ Brothers, Inc.: Louise Bailey-Matte, Esq. of Peterson, Dillard Young, Self & Asselin in Atlanta, Georgia. Respondent Richard Etoglish appeared pro se. Statement of ClaiTn filed: October 8, 1991.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03154 AWARD In the Matter of the Arbitration Between Lorinda M. and Mark J. Lowe Claimants vs. Malone & Associates, Inc. Wayne Wheeler Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimants, Lorinda M. and Mark J. Lowe, who appeared Pro Se, alleged that during the period of November 20, 1990 to Dece

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03151 AWARD In the Matter of the Arbitration Between Suzanne G. Merrill Claimant vs. Shearson Lehman Brothers, Inc. Ronald Granucci William F. Stepanek Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimant, Suzanne G. Merrill, who appeared Pro Se, alleged that Respondent, Shearson Lehman

N.A.S.D* AWARD NATICMMj ASSOCIATION OF SfcXJURl'i' ' *«*•* DERIVES In the Hatter of the Arbitration Between. Q£ Ralph A. and Virginia B. Shaw, individually and Ralph A. and Virginia B. Shaw, as trustees of the Shaw Trust 91-03147 £• -V £* «- . -- -- llama Q£ Ramjcinlflnt-p - -.v- 3* ^^^^^^^^^^M^MIM^^B^MI sr- *;•• Dean Witter Reynolds, Inc., H" Henry Westberry and §,' Gary Hofer Claimants, Ralph A. Shaw, Virginia B. Shaw and R

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03142 AHARD In the Matter of the Arbitration Between Marie & Jasper Spinelli Claimants vs. South Richmond Securities, Inc. Refco Securities, Inc. Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimants, Marie & Jasper Spinelli, who appeared Pro Se, alleged that in July 1987 Respondent South Richmond

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03137 AWARD In the Matter of the Arbitration Between Bartlett L. Ackerson Claimant vs. Barrett Day Securities, Inc. Paul Keiley Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimant Bartlett L. Ackerson r who appeared Pro Se, alleged that on March 8, 1991 Respondent Paul Keiley, branc

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gabriel R. and Laura M. Galleto Name of Respondents Princeton Financial Group Inc. 91-03136 National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: For Respondent; The Claimants appeared pro se. The

ARBITRATION AWARD NASD DISPUTE RESOLUTION, INC. In the Matter of the Arbitration Between Name of Claimant Claire Pecqueur Case No. vs. 00-05244 Name of Respondent Richard Thomas Tanaka REPRESENTATION Claimant was represented by James G. Killough of Atlanta, Georgia. Respondent was represented by Andrew Ziolo and Rex Cornelison of Cornelison & Ziolo, LLP, Atlanta, Georgia. CASE INFORMATION Statement of Claim and Claimant's Sub

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard Murdza and David Murdza, (Claimants) vs. Fidelity Investments, Inc. a/k/a Fidelity Brokerage Services, Inc., (Respondents) Case Number: 00-00528 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Richard Murdza ("R. Murdza") and David Murdza ("D. Murdza"), hereinafter collectively referred to as "Claimants": Miles E. Hoisington, Esq., Hoisington &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louis Merlo, Claimant, vs. Donald L Whitton, Seger Financial, Inc. (a/k/a Martha R. Seger Associates, Inc.), Martha R. Seger Financial Group, Julie A. Baetz, Damian S. Kassab, Susan R. Sofia, Dr. Martha R. Seger, Vincent Brennan and Jon V. Rogers, Respondent(s). Case Number: 00-00059 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant,