NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02149 AWARD In the Matter of the Arbitration Between Jeffrey S. Stuart Claimant vs. PaineWebber, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, inc. on July 12, 1991, Claimant Jeffrey S. Stuart> who appeared Pro Se, alleged that Respondent PaineWebber, Inc. through their broker Randy Sandstrom urged the Claimant to purchase s

Arbitration N.A.S.D. AWARD NATICNAIi ASSOCIATION OP SECERTITES DEALERS In the Matter of the Arbitration Between, Q£ Scott A. Mehring vs. Name of Reanonrfcnts Dean Witter Reynolds Inc. TbanaB O'Neil Scott Seig National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-02147 For Claimant: Anthony Hem, Esq. For Respondent: M*

® N.A.S.D. AWARD NATIONAL ASSOCIATION CEP SECURITIES DEALERS In the Matter of the Arbitration Between ) tfrmift of Claimant (s) ) Irving J. Slotoroff ) ibaneof^teBDon>(s) ) mer & Co., Inc. ) Philip O. Sosnidc Robert B. Hard, Jr. Steven O. Lewin Arbitration National Association of Securities Dsators. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Case No. 91-02144

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N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimants Max C. Reefer Anne G. Reefer vs. NASD #91-02141 Shearson T^i-inpiTi Brothers, Inc. Larry Maize For Claimants: James J. Sullivan, Esq., Pgff* Francisco, California For Respondents: Kathryn L. Krebs, Esq./ of Keesal, Young & Logan, Long Beach, California case Statement of na< m filed: July 12, 1991 Sutnissian Agreemen

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02130 AWARD In the Matter of the Arbitration Between Joseph Sokolski Claimant vs. Dean Witter Reynolds, Inc. Kenneth Padghaiti Frank Dorcak Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1991, Claimant Joseph Sokolski, who appeared Pro Se, alleged that Respondents, Dean Witter Reynolds, Inc., K

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ; i Sharon H. & Robert G. Reinhardt / Claimant ; vs. ; CASE #91-02128 ; AWARD Stuart-James Company ; Douglas Ward / Respondents ; CASK SUfrMftRY In a claim filed with the National Association of Securities Dealers, Inc. on July 11, 1991, Claimant Sharon & Robert Reinhardt who appeared pro se, alleged that Respondent Douglas Ward, a r

PUBLIC Arbitration N.A.S.D. AWARD National Association of Securities Dealers, Inc. «**»**•*•«.* ,«««~«««.,-., «« .... . , . ______ , ^—.—-^ NASD Financial Center NATICNftL ASSOdATiaj OF SECDRITIES DEALERS 33 Whitehall Street _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name of Edon Corporation Defined Benefit et al. 91-02127 Name of Respondents Prudential Securities James 6. Gertz Rich

—AMSGL H.A.S.D. AMAKD Nsttonel Aaaodatton of StcurithM Dieliff. Inc. NAnaW* ASSOCIATION OP SHLDHI'i'iup EEAURS On» E«« Srawtfd Boulevard Surte 1000 Ft. Laudertiato, Florida 33301 . (305) 522-7391 In the Matter of the Arbitration Between Same of Agnes R. Benito 91-02126 , Inc. Jtortin Sloane dalmant, Agnes R. Benito ("Benito"): 550 as. For Rsspcndsnt, PalucWettoer, me. ("P.M.") and Itortin Sloans ("Sloane") Stewn K. Hi ftf

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Calise, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent) and Merrill Lynch, Pierce, Fenner & Smith (Claimant) vs. Joseph Calise and Salomon Smith Barney, Inc. (Respondents) Case Number: 01-00784 (Consolidated w/01-00846) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Calise, hereinafter referred to as "Claimant" o