N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert E. and Thelma J. Parrett NASD Arbitration No.92-02894 Name of Respondents) Dean Witter Reynolds, Inc. Terence Johnson For Claimants: Richard Sacks, Investors Recovery Service, Novato, California For Respondents: Paul D. Allen, Esq., Dean Witter Reynolds, Inc., San Francisco, California CASE INFORMATION Statement of Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack T. & Bonnie J. Christie 92-02807 Name of Respondent Wheat First Securities. Inc. REPRESENTATION For Claimants Jack T. and Bonnie J. Christie ("Claimants"): L. Bruce McDaniel, Esq. of the law firm of DeBank, McDaniel & Anderson. For Respondent Wheat First Securities, Inc. ("Respondent"): Jonathan M. Harris, Managing Di

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grant B. Morris NASD Arbitration No. 92-02806 Name of Respondents Dean Witter Reynolds, Inc. Robert Imhoff REPRESENTATION For Claimant: Jeff Dennis Ferentz, Esq. - Greenbaum and Ferentz - Newport Beach, California For Respondent: Wendy R. Robinson, Esq. - Dean Witter Reynolds, Inc. - San Francisco, California CA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Rita A. Salmon Claimant vs. CASE AWftOT Waddell & Reed, Inc. Den Rosen Respondents CASE SUMMARY Pro Se Claimant, Rita A. Salmon, in a claim filed with the National Association of Securities Dealers, Inc. on December 5, 1990, alleged that Respondents misrepresented her investment options and the charges for withdrawal from her investments. Sh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimants Bruce A. Manchel. John F. Steel, IV, Philip J. McConkey vs. Name of Respondents Dean Witter Reynolds. Inc., Robert W. Inbody Worth H. Bagley NASD AW UDATED CASES #92-03459 REPRESENTATION For Claimants: Shirli Fabbri Weiss, Esq., Gray, Gary, Ames & Frye of San Diego, California. For Respondents: Kevi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between, Nellie Czerniak, Dolores Ponticeiii, Leon Czerniak & Ronald Czerniak j Claimants ) ) AWARD vs. ) ) NASD S90-03438 Dean Witter Reynolds, Inc. ) Stephen Anderson ! William Blanke ) Respondents ) REPRESENTATION Claimants were represented at hearing only by Mitchell I. Green, Esq. of Los Angeles, California; at all other times they

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02291 Vishnu H. Sujanani, claimant vs. Josephthal & Co., Inc., respondent. ATTORNEYS: Claimant Vishnu H. Sujanani ("Claimant"), appeared Pro Se., St. Petersburg, FL. For Respondent Josephthal & Co., Inc. ("Respondent"), Brian J. Neville, Esq., Josephthal & Co. New York, NY. DATE FILED: May 18, 1999 CASE SUMMARY: Claimant alleged that Respondent recommended

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SUJUm'lUS DEALESS In tibe Matter of the Arbitration Between & Smith, Inc. vs. 90-03400 Name of Respondent (a) R. Jc For daiaant: Dave Lenny, Esq., Law Office of Howard Meyers, 26147 Kenrose Circle, O1«hnnnn, CA 91302 For Respondenti Jamas R. Jones, Esq., 401 Civic Center Drive Nest, Santa Ana, CA 92701 Statanent of nnlm filed: Virrabrir 3, 1990 dainont's {?** 1 " l> **MriiTi Agreeamt

N.A.S.D. AWARD NKTIOOL ASSOCXKCXCN OP StLUUTltS In the Matter of tba Arbitration Betiieen of Fiances M. Epler, Trustee for Frances M. Spier Trust 90-03390 Smith Barney Harris Dpham & Oo., Inc. John For Claimant, Frances M. Epler Trust ("dainant") : Stewart of Luper, Nolinetz, Sheriff & Neidenthal. Miller Jack L. For Respondent, Smith Barney Harris Dfiham 6 Oo., Inc. ("Smith Barney*) : Paul K. Barenholtz, Vice President, Law Depar

w.A.s.n. M«BD Artntraaon ^^ _ ^^ National i NATIONAL ASSOCIATICN OF jjtf'XJP 1 ' 1 ' 11 ^ DEALERS SacurttlM OeaMra. IT. NASD Finance! C«n« m the Matter of the Arbitration Between 33 Whrtehai Strom New York. N.Y. 10004 of ^., FAX(212J858-4389 Rosalind Walla and Alfred ITodJurgn 90-03321 of Rum «1 > lents FSC Securities Corporation Richard L. Jaffee For Claimants PnTTiIJTVl Wells ^VH Alfred ITuJjuiijIi ("daiuBnt