N.A.S.D. AHAKD NKETCNAL ASSOCIKnCN OF la the Matter of the Arbitration Between James A. Drunncnd NASD No.92-00756 Hugh Gem 6 Co., Inc. Hugfr Gee Tarrence Gee For Claimant: Richard Sacks, Investors Recovery Service, Nbvato, Fbr Respondents: J«tcoa Berg, Esq., San Francisco, California Statement of n»< « filed: Iterch 3, 1992 daixoant's ^nK«i4«fr(< ^i AoreeoBQC signed cat Jaouazy 23, 1992 Joint Stataatnt of Answer filed! April 15, 1992

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00755 AHARD In the Matter of the Arbitration Between Joseph C. Chawes Claimant vs. Commonwealth Equity Services, Inc. Maurice R. Senechal Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1992, Claimant Joseph C. Chawes, who appeared Fro Se, alleged that Respondent Commonwealth Equity Services, Inc. t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Christina Montaruli 92-00747 Namejjf Resoondent(s) Smith Barney Harris Upham & Co., Inc. Mark Andrew Smith REPRESENTATION For Claimant, Christina Montaruli, ("Montaruli"), Allan J. Fedor, Esq. of Fedor & Fedor. For Respondents, Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and Mark Andrew Smith ("Smith"), Alejan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant David P. and Andrea A. Ditto et al. vs. Case»: 92-00744 Name of Respondent Prudential Securities, Inc., J.C. Bradforn & Company et al. REPRESENTATION For Claimants: Dale S. Ditto, Esq. solo practitioner, Lexington, KY and Tim Philpot, Esq. of Philpot & Sullivan, Lexington, KY. For Respondent Prudential and Michael Brinlee: Pete

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants l Fred Alvaro, Jr. 92-00737 Name of Respondents Shearson Lehman Brothers, Inc. Jeffrey Swartz REPRESENTATION For Claimant Fred Alvaro, Jr. ("Claimant"): he appeared pro se. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and Jeffrey Swartz ("Swartz"): Robert N. Rapp, of Calfee, Halter et al. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant! s) Maria Michaels-Johnson Frosene Sonderling Nicholas Michaels 92-00735 Name of Resoondentts) Smith Barney Harris Upham & Co.. Inc. Robert Rubenstein REPRESENTATION For Claimants: Seth L. Rosenberg and Meaghan E. Barrett of the law firm of Gallop, Dawson, dayman and Rosenberg. For Respondents: Joan Guggenhei

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donna J. King Claimant vs. McDonald & Co. Securities, Inc. Peter G. Panis Respondents CASE #92-00730 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1992, Claimant, Donna J. King who appeared Pro Se, alleged that in July 1987 Respondent, McDonald & Co. Securities, Inc. soli

N.A.S.D. AWARD NATICNRL ASSOC33CTCN OF tJM_Wi'i'TTas DEAXERS In the Matter of the Arbitration Between. 1OSD Arbitration NO. 92-00728 Batanan Eichler, HiU Richards. Inc. For Claimant: David R. Baade, Esq. - lTe*port Beach, California For Respondents: Thorns M. Adan, Esq. Tanning, Adana & Lavi - Marina, Dal Ray, Statanent of Claim filed: February 28, 1992 Claimant's SuhBdssico Agreaaant signiid CD,: January 7, 1992 Joint Statement of Answer filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00725 AWARD In the Matter of the Arbitration Between Richard M. Lewis Claimant VS. Edward D. Jones & Co. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1992, Claimant, Richard M. Lewis", who appeared Pro Se, alleged that Respondent, Edward D. Jones & Co. violated Article III, Section 18, of the NASD Rules of F

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Andrew Garrett, Inc. (Claimant) v. John Michael Rago (Respondent) Case Number: 06-00648 Hearing Site: New York, New York Nature of the Dispute: Member v. Associated Person. REPRESENTATION OF PARTIES Claimant Andrew Garrett, Inc. ("Garrett") hereinafter referred to as "Claimant": Revan R. Schwartz, Esq., Andrew Garrett, Inc., New York, NY. Respondent John Michael Rago