N.A.S.D. AHARD ASSOdflTICK OP- {?bli.!-TiH I'lTMg DEALERS la. tha Matter of the Aetoitration Between Robert & Miriam Doming vs. NASD #51-03962 Manna of Reapondeata Innovative Financial Planninc Financial Network Investment For Claimant; RiddL C. Ring, Sag;, of Los Angeles, California For Respondents! Shannon L. MeDougald of Ksesal, Young & Logan, Long Beach, Stataaaat of Claim filed* Durwiaez 16, 1991 daiaant's Sutedssicn Agreeomt signed* No

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidney H. Levin, as Trustee of the Levin Family Trust NASD Arbitration No. 91-03894 Name of Respondent Shearson Lehman Hutton, Inc. REPRESENTATION For Claimant: Robert N. Block, Esq. - Mitchell, Silberberg & Knupp - Los Angeles, California For Respondent: Colin C. Swainston, Esq. - Keesal, Young & Logan - Long Beach

N.A.S.D. AWARD NATIONAL ASSOCTAITCN OF SECURITIES DEALERS in the Matter of the Arbitration Between of George a. Toste NASD Arbitration No. 91-03761 Name of Respondent (s) Dean Witter Reynolds, Inc. John J. Gardner Cecil Goodgame For Claimant: Mr. Anthony Eaglese, Esq. For Respondents: Mr. David Studley, Esq. of Dean Hitter Reynolds, Inc. CASK Statement of n«-im fnedi November 29, 1391 Claimant's Suhnlflaion Agreement signed o

Arbitration NATIONAL ASSOdATICN OF N.A.S.D. AWARD DEAIBRS In the Matter of the Arbitration BetMeen Irene Kutl 91-03726 NanneofRgsgcodgits Prudential Securities me William J. Drake National Association of Securities Dealer*. Inc. NASD Rnancal Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For daiaant: Katharine Nathan, Esq., from the law firm of BMNDSXS, BHEN3TEQ7 ft HRSSBMM? For Respondents: Pe

N.A.S.D. AWARD ASSQCianCK OP StXilRLTlES DERLEBS In the Matter of the Arbitration Between of n Mary C. Zinaneyer vs. NJVSD #91-03717 Name of Respondents Dean Witter Reynolds, Inc. Wayne D. Onnl Far Claimant; Jeffrey ML Janes, Esq., of the Law office of Archibald Mill, Old For Respondents: Curt H. 14ieller, Esq., of Dean Witter Reynolds, Inc., Son Francisco, Statamt of Halm filed: Nbvwrber 26, 1991 Claimant's Suboission Agzeonent

N.A.S.D. AWARD NftTICNRL ASSCXTATIdl OF SECURITIES In the Matter of tba Arbitration Between. Name of nadmant (a) Nicholas Segina Daniel Niclc Segina vs. 91-03587 Name of Respondent (s) Fidelity Brokerage Services, Inc. For Claimants: William R. Mama, Esq., Dcwey Brand Seymour. & Rotaer, San Francisco, For Respondent: Joan H. Ganiaray, Esq., Graham & Jamas, San Franci California Stateasit of halm filed: Nbvenber 14, 1991 Claimants

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Marianne Johansen 91-03544 Name of Respondent(s) Paine Webber, Inc. Mariner Financial Services, Inc. Jon Fluetsch REPRESENTATION For Claimant Marianne Johansen: Ralph J. Sirlin, Esq. of the law firm of Neosti and Sirlin. For Respondents PaineWebber, Inc.: Paul Thomas, Esq. Mariner Financial Services Inc.: Frederick K.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Beatrice & Stanley D. Monsowitz Claimants CASE #91-03467 AWARD vs. The G.M.S. Group f/k/a/ Moore & Schley Municipals, Inc. Marc Strasser Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 4, 1991 Claimants Beatrice & Stanley D. Monsowitz who appeared Pro Se, alleged that Respondent

Award NASD Dispute Resolution, the. In the Matter of the Arbitration Between: Frank Ritter on behalf of Frank Ritter I.R.A. v. Merrill Lynch, Pierce, Fenner & Smith, Inc. and Mary A. Robbs Case Number: 99-2978 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Frank N. Ritter on behalf of Frank N. Ritter I.R.A., hereinafter referred to as "Claimant": Waiter L. Baumgardner, Esq., Musilli, Baumgardner, Wagner & Parnell, St. Clair Shor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. In the Matter of the Arbitration Between ) Angelo A. Fanelly Case No. 90-03641 Barry A. Hofer Advantage Capital Corp. Business Benefits Of Akron, Inc. For Claimant, Angelo A. Fanelly ("Fanelly"): Dixon Thomas, Esq. For Respondents, Business Benefits of Akron, Inc. ("BBA") and Barry A. Hofer ("Hofer"): Michael A. Malyuk, Esq. of Roderick, Myers & Linton. For Respondent, Advantage Capi