N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Between Name of Fred H. Mair, Muriel Meir and the Estate of Chad J. Meir 90-01740 Name of Respondents Shearson Lehman Hutton, Inc. Bernard Casey Poupore Terese Catherine Lsmberg Fred H. Meir, Muriel Ifeir and the Estate of Chad J. Mair, an adult, were represented ty Stephen I. Dokken, Esq., Soottsdale, Arizona. Shearson Lehman Brothers, Inc., B

Arbitration ® NATICKAL ASSOCIATION OF SRJUklTIKS DEALERS In the Matter of the Arbitration Between" of Marc Ira Escn, and Penm Consulting, Inc. 90-01739 of First Albany Corporation Michael J. Palazzo For Claimants: Robert J. Lurm, Esq. of Bbltzberg &. Lunn. For Respondents! Michael A. Brad/, Esq. of Hagerty & Brady. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Alan Jay Jenks 90-01737 Name of Respondent John G. Kinnard and Company, Inc. OF Alan Jenks was represented by Stuart N. Bennett, Esq. and Wesley B. ifcward, Esq. of Brega & Winters, P.C., Denver, CO. John G. Kinnard & Co., Inc. was represented by F, Chet Taylor, Esq. and Ted S. Meikle, Esq. of Fredrikson s Bryon, Minneapolis, MN. In a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ttotter of the Arbitration Between Ejame of Clement Lee 90-01736 Name of Rescondentfsl Prudent.! al-Bache Securities Inc. Joseph Fisher Heard before: Name Public/Industry Marcus Gracia, Jr. _ PUBLIC / Chair_ Maurice Arth _ PUBLIC _ Frank Bosl INDUSTRY This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAEJERS In the Matter of the Arbitration Between Name of Claimantfsi Elizabeth Bunting 90-01728 Name of Wadsworth Investment Ccnpany, Inc. William F. Wadsworth Heard before: Name Public/Industry Deborah Sherman, Esq. Public Arbitrator Pauline Mistretta Industry Arbitrator Milton H. Lehrer Public Arbitrator Claimant, Elizabeth Bunting was represented by Henry Sanchez of Butler,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ifetter of the Arbitration Between Name of riaiTnant.fi Audrey H. Jassenoff Jerome Jassenoff Laurie B. Jassenoff 90-01719 Name of Respondents Shearson Lehman Hut ton, Inc. Leonard S. Altamura Steven M. Gross For all Claimants: Dennis J. Drasco, Esq. of Lum, tfoens, Conant & Danzis For all Respondents: Paul R. Williams, Esq. of Schupbach, Williams & Pavone INPDRHBT1HI

Award NASD Dispute Resolution In the Matter of the Arbitration Between: n f the f^'mant r^p Nvtn^^ 1 " 01-00672 Eric J. Bell Name.of thf* Respondents Hearing Sit? ! Philadelphia, PA Janney Montgomery Scott LLC Steven J. Kramer PAKTTF-S Claimant, Eric J. Bell ("Bell"), hereinafter referred to as "Claimant": Marc S. Henzel, Esq., Law Offices of Marc S. Henzel, Bala Cynwyd, PA. Respondents, Janney Montgomery Scott LLC ("Jann

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Douglas Kiessling Case No. 00-00640 Name of Respondents Cantone Research Inc. Fleet Securities, Inc., f/k/a U.S. Clearing Co. Anthony J. Cantone Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant, Douglas Kiessling ("Kiessling") was represented by Anthony J. Horn, Esq., Attorney at Law, New York, NY. Respondents, Canto

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc., vs. Goda and Geeta Shailam, vs. Morris Pelter, Robert B. Lee, Walter D. Roberts III, Thi Claimant, Respondents, and rd-Partv ResDondents . X X X X X X X X X X X X X X X CASE NO. 90-01716 AWARD - Heard before: Carl W. Engstrom, Esq. Ric

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David Allan Adelman, M.D. 90-01714 Name of Respondentfs^ Fidelity Brokerage Services, Inc. Heard before: Name Public/Industry Herman Friedberg Public This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on June 18, 1990. Claimant alleged that Respondents failed to execute