N.A.S.D. AWARD _ NmGNAL ASSOCIATION,OF SECURITIES DEMJ3RS In the Matter of the Arbitration Between Name of Plalmantg Dcminic & Clara Colletto 90-03176 J.C. Bradford & Co. OF PftRL'lKS Dcminic & Clara Colletto ware represented by Michael A. Mayer, Esq. of Settles, Centos, Barrett & Sidwell, Nashville, TO. J.C. Bradford & Co. was represented by James T. Ritt, Esq. and James G. Davis, Esq. of J.C. Bradford & Co., Nashville, TO. In a stateme

N.A.S.D. AWARD NATIOffiL ASSOdATICN OF SECURITIES DEALERS Arbitration National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration. Between Name Of Daniel J. Cruoglio vs. Name of Respondents William Hayde Anthony Fezzuzzi Anthony J. DeStefano Anthony J. Stoisich Case # 90-03172 For Claimant: Philip Leone,

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Name of Irene W. &x>re 90-03161 Name of Stuart Janes Company, Inc. Claimant Irene W. Moore appeared DTP ge.. Respondent The Stuart-James Company, Inc. was represented by Counsel Christa D. Taylor, Esq. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 6, 1990, Claimant I

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Jeaniene I. Fyllingness Helen I. Richards Claimants vs . Sacks Investment Company, Inc. Robert Vallier Richard Sacks Melvin Simons Respondents CASE #90-03156 AWARD CASE SUMMARY Jeaniene I. Fyllingness and Helen I. Richards, in a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1990, alleged tha

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between P1anners JEndependent Management, Inc. 'Craimant CASK vs. Charles R. PettiJohn Respondent CASE SUMMARY Planners Independent Management, Inc., in a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1990, by Jack K. Heilbron, President, alleged that Respondent and customer, Charles R. Pettijohn wrongfully received an

7VASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between tjarrs of Claimant-. PaineWebber, Inc. vs. Name of Respondent Dezsoe Haimi Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-03154 For Claimant: Valaree M. Moodee f Esq., in-house counsel. For Respondent: Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Betaken Name of nainwnt-.s Stanley H. Pelter 90-03151 Name of Respondents; Shearson Ifihman Hut ton, Inc. Mark Jay Rafaloff Andrew Rudolph For Claijnant: Stanley M. Ackert III, Esq. of Blum, Gersen & Stream. For Respondents: Paul R. Williams, Esq. of Schupbach, Williams & Pavone. Claimant filed a Statement of Claim on October 26, 1990 and signed a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Trade Advertising, Inc., (Claimant) vs. Adolph Komorsky Inc., Peter Adolph, and Bear Stearns Securities Corp., (Respondents) Case Number: 00-04547 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Trade Advertising, Inc., hereinafter referred to as "Claimant": David E. Neitlich, Esq., Attorney at Law, Boston, MA. Respondents, Adolph Komorsky Inc. ("AKI") an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Betaken ) ) Name of Bette Muskat } ) ) Case No. 90-03122 ) Name of Regpondentfs| ) ) Pructential-Bache Securities Inc. ) Ivan R. Gefen ) John Pandolf i ) For Claimant, Bette Muskat ("Muskat"): Patricia A. Snub, Esq., of Shub & Barclay, P.A. For Respondents, Prudential Bache Securities, Inc. ("Prudential"), Ivan Gefen ("Gefen"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS prr-r^r' ' In the Matter of the Arbitration Between ) 11^,- • -• L \ -" * >' ; - O — \ r - '^ " Ngnvg of fT^iTrant (s) ) i i '•. ..-•- Tbomas & Marcia Devine ) .------ " ) Case Nb. 90-03120 Name of Bespcirientte) ) G.K. Scott & Ccnpany ) Peter C. Kapreilian ) For daimant, Tbooas A. Device aod Marcia M. Devine ("Devices") : Robert G. Hines, Esq. For Responde