NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arbitration National Association of Securities Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 100C James A. Lanier, Jr. Name of Respondents Wheat: First Securities, Inc. Leon E. Walker, Jr. 90-01450 For Claimant, Janes A. Lanier, Jr. ("Lanier"): William R. Shell, a sole practitioner. For Respondents, Wheat First Secu

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f90-01447 AWARD In the Matter of the Arbitration Between Dorothy M. Baker, Personal Representative of the Estate of Barton B. Baker Claimant vs. Otra Clearing, Inc. Respondent CASE SUMMARY Dorothy M. Baker, in a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1990, alleged that Respondent Otra Clearing, Inc. was negligent in transferring DMI st

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert F. Ellerbe and Scotty L. Ellerbe v. Raike Financial Group, Inc., and Steven Messina Case No: 00-04774 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Robert F. Ellerbe and Scotty L. Ellerbe ("Claimant") For Raike Financial Group, Inc. ("Raike") Steven James Messina ("Messina") Nicholas D. Thomas, Esq. Raleigh, North Carolina

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Paul Revere Variable Annuity Insurance Company, UNUM Provident Corporation, The Provident Life & Accident Company, The Paul Revere Corporation, The Paul Revere Life Insurance Company and The Paul Revere Protective Life Insurance Company, Claimants v. Arthur F. Zang, Jr., Respondent. Case Number: 00-00495 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claima

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between"" Name of f!laimmt(3l Paul Pavilack Name Of National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rohda 33301 (305) 522-7391 Case No. 90-01442 Gruntal & Co . f Inc , George Barker Jfeard before the members of the Arbitration Panel: Arthur J. Leibell, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01441 AWARD In the Matter of the Arbitration Between John W. zinter Claimant (s} va. Anthony "Tony" Beck Respondent(s) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 21, 1990, Claimant John W. Zinter who appeared Pro Se, alleged that Respondent Anthony "Tony" Beck failed to place a three dollar stop loss order as the Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC, In the Matter of Arbitration Between Sebastian S. Sisti Claimant vs. Case #90-01427 Award Merrill Lynch Pierce Fenner & Smith, Inc. Respondent Heard Before: Edmund S. Twining, Jr. Public Arbitrator Thomas Adamson, IV Industry Arbitrator Angela Desmond Public Arbitrator REPRESENTATION Claimant, Sebastian S. Sisti ("Sisti"), represented himself. Respondent, Merrill Lynch Pierce Fenne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Donald J. Kundinger 90-01424 Name of Respondent: ( s } National Securities Corp. Heard before: Name Public/Industry George Speciale Public Chair Marlene Sine Public Duane Rose Industry CASE STIMMARY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, In

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Melville H. Gaughan and Thomas A. Gaughan Claimants vs. Shearson Lehman Mutton, Inc. and William C. Black Respondents AWARD #90-01423 CASE SUMMARY Claimants Melville H. and Thomas A. Gaughan ("Claimants") alleged that Respondents made unsuitable investments in, among other things, a "junk bond" fund and a real estate limited partnership. Clai

ASSOCIKTICT cr sacunrrns -i tfca Matter of the Arbitration Oliver e. snidt ana Macteline L. )0-OI41B cr Oliver H. anixit and MKtelixie L, , Zsq. f of Burch & Cracchioio, P. A. represented by Jlichaal hoenix, Arizona. Shaarson Lahman Hatton, Iix;. Ml HPT, Pitt & JtftmilYr ^ -C. f r^pcesencea by Gerald Maltz, Esq., of In a Statement ot Claim tiled with tha National Association of Securities Daaiers, Inc. ("NASD") on or about June 5