N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) James E. King and Phyllis A. King 92-01849 Name of Respondents) Prudential Securities Inc Joseph Roediger Joel Srodes REPRESENTATION For Claimants, James E. King and Phyllis A. King ("Kings"): Richard W. Groner, Esq. of Snyder, Groner, Schieb & Clayton in Sarasota, FL. For Respondents, Prudential Securities, Inc. ("P

SUPPLEMENTAL N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Gasselein 92-01757 Name of Respondent American Pacific Securities Corp. Andover Securities, Inc. The Estate of Sidney P. Griffin, Sr. Griffin Financial Services REPRESENTATION For Claimant, Patricia Gasselein ("Gasselein"): Philip J. Snyderburn, Esq. of Snyderburn, Rishoi and Swann, Winter Park, Fl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Name of Respondent Brian Anthony Kirk 92-01699 In the Matter of the Arbitration Between (consolidated with 93-03095) Name of Claimant Brian Anthony Kirk Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.; Irving Silver; and Randall Gibbs REPRESENTATION

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joe DiRusso & Rosa DiRusso 92-01598 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1992, Claimants Joe & Rosa DiRusso, through their counsel Dennis J. Harris, Esq., Dearborn Heights, MI, alleged that Respondent Dean Witter Reynolds, Inc., thr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Sylvia Shapiro 92-01597 Name of Respondent(s) Prudential Securities Inc David H. Sagerman REPRESENTATION For Claimant Sylvia Shapiro, individually and as Personal Representative for the Estate of Sol Gellman ("Shapiro"): Robert Ross, Esq. of the law offices of Robert C. Ross, Jupiter, Florida. For Respondent, Prudential

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph H. Lock 92-01595 Name of Respondents Shearson Lehman Brothers. Inc. lames Toto For Claimant Joseph H. Lock ("Claimant"): Walter D'Ull, Esq., a sole practitioner. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and James Toto ("Toto"): Robert S. Moraff, Esq. of Schwartz Tobia et al. CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Azzarelli Enterprises, Ltd. Peter J. Azzarelli, General Partner Case No. 99-03199 Name of Respondent Morgan Stanley Dean Witter f/k/a Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES For Claimants Azzarelli Enterprises, Ltd. ("Azzarelli Enterprises") and Peter J. Azzarelli, General Partner ("Azzarelli"), hereinafter collectively referred to as "Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alicia Morris Case# vs. 92-01593 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Seth E. Lipner, Esq. of Deutsch & Lipner For Respondent: Gerald Kowlaski, Esq., Prudential Securities Inc. CASE INFORMATION Statement of Claim filed: May 7, 1992 Claimant's Submission Agreement signed on: May 5

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Irving & Mildred Fenichel Janet Lee Lazarus Claimants vs. Prudential Securities, Inc. Geoffrey M. Roberts Respondents CASE #92-01592 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8,1992, Claimants Irving & Mildred Fenichel & Janet Lazarus, who appeared Pro Se, alleged that Respondents Pr

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01591 AWARD In the Matter of the Arbitration Between V. Arthur Russo Claimant vs. Waterhouse Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1992, Claimant V. Arthur Russo by and through his counsel George W. Lipp, Jr., Esq., Sole Practitioner, Venice, Florida, alleged that on November 29,