N.A.S.D. AWARD NATIONAL ASSOCIATION, OF SECURITIES DEALERS. INC. _ In the matter of the Arbitration Between Name of Claimant (s) James F. Surge and James F. Burge as Beneficiary of the Center Glass Company Defined Benefit Pension Trust and Money Purchase Pension Plan NASD Arbitration No. 92-00177 Iame of Resondent: ^3) Dean Witter Reynolds Inc. Clark A. Bruce Roland Bruce REPRESENTATION For Claimant: Philip M. Aidikoff, Esq.

S.A.S.2. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Howard A. McKinnon No. 92-00176 Name of Respondents PaineWebber, Inc. Paul Laszlo REPRESENTATION For Claimant: Ralph J. Sirlin, Esq., Bloomfield, MI. For Respondents: Edward G. Werner, Esq. Assistant vice President and Litigation Counsel of PaineWebber, Inc., Weehawken, NJ. CASE IHFORMATION Statement of Claim filed

N.A.S.D. AWARD NKTECHM. AssocxarxcN OF .summit DEALERS In tba Matter of the Arbitration Between of Ervin Frank Name | of Raspccdflat Dean Witter Reynolds, Inc. David Clifford NftSD Arbitration Nb.92-00175 For Claimant: Mitchell S. Qstmld, Esq., ., Seanan & Ostwald, Sacramento, For Respondents: David W. Studley, Esq., Den Witter Reynolds, Inc., San Francisco, **-*•••"— J - Statanent of HaHtn fUed: January 17, 1992

N.A.S.D. AWARD Arbitration _C5 National Aaaociatlon of NftTICNAL ASSOdATICN OF SWJUKIT1KS DEALERS StcurHiM 0*a4*r», Inc. One East Broward Boulevard Suita 1000 in the Matter of the Arbitration Between&sfs££n Name of Claimant (s) Richard L. Jorandby 92-00168 Name of Respondent(a) Shearson Lehman Button, Inc. Glen Trematore For Claimant, Richard L. Jorandby, Alexander Del Ruaao, Esq. of Levy, Kneen, Boyes, Wiener et al. For Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Narne o Suzanne Rossini NASD Arbitration No.92-00166 Name of Respondent's) Shearson Lehman Brothers James Gordon For Claimant: Michael F. Brown, Esq., Schall, Boudreau & Gore, San Diego, California For Respondent: Michael C. Licosati, Esq., Keesai, Young & Logan, Long Beach, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret M. Johnson (Individually and as Co-Trustee for the Margaret M. Johnson Revocable Living Trust) and Pamela M. Davis, Co-Trustee for the Margaret M. Johnson Revocable Living Trust v. Morgan Stanley Dean Witter, Inc., Lois Budman and Mary Lou Labe Case Number: 99-3035 Hearing Site: Southfieid, Michigan REPRESENTATION OF PARTIES Claimants, Margaret M. Johnson (Ind

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants James W. Dyson and Kathryn M. Dyson and 00-01073 Minneapolis, Minnesota Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION OF PARTIES James W. Dyson and Kathryn M, Dyson ("Claimants") appeared pro se. Charles Schwab & Company, Inc. ("Respondent") was represented by Mauricio S. Beugelmans, Esq., Charles Schwab & Company, Inc., San

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00163 AWARD In the Matter of the Arbitration Between Walter D. Kuver Claimant vs. Dean Witter Reynolds, Inc. Respondent vs. Daryl R. Nitkowski Respondent CASE SUMMARY In a claim filed, with the National Aasociation of Securities Dealers, Inc. on January 15, 1992, Claimant Walter D. Kuver, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 05-00123 Edward J. Gorman, III, Individually and as Beneficiary Under the Will of Edward J. Gorman, Jr. Patrick A. Gorman, Individually, as Beneficiary Under the Will of Edward J. Gorman, Jr., and as Special Administrator of the Estate of Edward J. Gorman, Jr. Names of the Respondents Hearing Site: Washington, D.C. A.G. Edwards & Sons, Inc

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05196 Vacation Links of Florida, Inc. Names of the Respondents Hearing Site: Orlando, Florida Capital Securities of America, Inc. Jerry Cline Name of theThird Party Respondent Charles Watson Nature of the Dispute: Customer vs. Member and Associated Person vs. Associated Person. REPRESENTATION OF PARTIES For Vacation Links of Flori