PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03749 AWARD In che Matter of the Arbitration Between Alice B. King Claimant vs. Gruntal & Company Michael D. White Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 27, 1991, Claimant Alice B. King, through her counsel, Jeffrey S. Salisbury, Esq., alleged that Respondents Gruntal & Company and Michael

PUBLIC _n the Matter cf tne Arbitration Between Eleanor E. McCcllcugh Claimant vs . Merrill lynch, Pierce, Fenner * Smith, Ir.c ^.escndencs CASE 491-03748 AWARD 7 ASS S T JMMARY In a claim filed with -he National Association cf Securities Dealers, Inc. on November 26, 1391, Claimant, Eleanor £. McCollough by and through lavid McCoi lough, alleged thac in February, 1984 Respondent , Merrill Lynch , Pierce , Fenner i Smith

PUBLIC NATIONAL, ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03746 AWARD In the Matter of the Arbitration Between Marc H. Geldon Claimant vs . Bakhor Securities Corp. d/b/a First Affiliated Securities", Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 26, 1992, Claimant Marc H. Geldon who appeared Pro Se, alleged that Respondent First Affiliated Secur

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimants) D. Frank Frisina 91-03745 Name of Respondent s) David Cravatta REPRESEiNTATION For Claimant: Charles S. Desmond n, Esq. a sole practitioner. For Respondent: Nelson S. Torre, Esq. of Giardino & Schober. CASE INFORMATION Statement of Claim filed: October 9, 1992 Addendum to Statement of Claim filed: October 9, 1992.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Richard N. McCausland 91-03734 Name of Respondents! A.G. Edwards & Sons, Inc. George W. Bigelow Jean McCausland-Steele REPRESENTATION For Claimant Richard N. McCausland: Vicki Kuftic Home, Esq. of Schuchert & Home. For Respondents A.G. Edwards & Sons, Inc. and George W. Bigelow: M. Jane Matoesien, Esq., in-house coun

Arbitration N.A.37D. AWARD National Association of __ Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEAIERS NASD Financial Center _ 33 Whitehall Street In the Matter of the Arbitration Between New Y °*- N - Y - 10004 FAX (2 12) 858-4389 Of Robert and Marguerite Henderson 91-03731 Name of Respondpnts Dean Witter Reynolds, Inc. For Claimants: Stephen Sussman, Esq. of thfi law firm of Barker & Sussm

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimants Case Number- 01-00824 Eugene B. and Marlene A. Faust Name nf the Respondents Hearing Site: Pittsburgh, PA Gruntal & Co., L.L.C., Thomas Fox, and Ryan Beck & Company, LLC Nature of the Dispute: Customer vs. Members and Associated Person REPRESENTATION OF PARTTF.S Claimants, Eugene B. and Marlene A. Faust, hereinafter collectively referred to as "Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edge N. Redrick 91-03725 Name of Respondent(s) Merrill Lynch Pierce Fenner & Smith Inc Theodore D. Williamson. Jr. REPRESENTATION For Claimant: Charles W. German, Esq. of Cohen Swados Wright Hanifin Bradford & Brett. For Respondent, Merrill Lynch: Arthur H. Sobel, Esq. of Merrill Lynch For Respondent, Theodore D. Williamson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ George R. & Delores M. Gulp NO. 91-03721 Name of Respondents - - ^V Quinn/Southwest r a division of Southwest Securities, Inc., and Robert R. Harrison REPRESENTATION OP PARTIES For Claimants: James R. Compton, Esq., Albuquerque, New Mexico. For Respondents: Jerome S. Wade, Esq., Vice President & General

Arbitration National Association of Securities Dealers, Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between Ne * Y o rk - N.Y. 10004 FAX (212) 858-4389 Name of Claimant Earl S. Hill 91-03719 Name of Respondents Kidder, Peabody & Co., Incorporated Stephen J. Schappell For Claimant Earl S. Hill ("Claimant") : Jay S. Cohen, Esq.