Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street ASSOCIMEICN OF SECURITIES DERLH*S New Yorkt New York 10004 In the ifetter of the Arbitration Between of Kathy Sue Sozkin Case # 90-01297 JHHRD Shearson lehman Mutton, Inc. Rowen Negrin Claimant, Kathy Sue Sorkin, alleges that she advised Rouen Negrin, a Financial Consultant with Shearson Lehman Bitten, Inc

N.A.S.D. AWARD NATICNAL ASSOCEATICN OF SECURITIES in the Matter of the Arbitration Between ) Name of Claimant (s) ) ~=__=^. } Bradley D. Brown ) ) ) Case No. 90-01296 ) Kama of pftflfynHflnt (a) ) Dcninicfc & Dcndnick Incorporated } Rayncod Mailtot ) Star Pmnrnrvlnnt'. Raymond Maill»t ("Mailhot") x Ttanas Grady, Bsq. of the Law Offices of Tbomas R. Grady. FOOT Kaspcndsnt, DonlnicJc & Donlnicfc, Inc. ("Dcndnick") x Richard

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between CRC QUAIL RUN PARTNERSHIP Claimant and NASD No. 90-01295 BEAR STEARNS & CO., INC. Respondent PARTIES REPRESENTATION Claimant was represented by Arthur E. Rosenson, Esq. of Much, Shelist, Freed, Dennenberg, Ament & Eiger, P.C., Chicago, Illinois. Respondent was represented by Nicholas P. lavarone, Esq., of Bellows & Bellows Chicago, Illinois. CASE SU

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimant Colgin & Knueppel Enterprises Partnership 90-01294 Name of Shearson Lehman Hut ton r Inc. and Joe Kelly In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about Ifey 7, 1990 Colgin & Knueppel Enterprises Partnership ("Claimant") alleged that Joe Kelly ("Kelly") a registered representat

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Scott Quinto, (Claimant) vs. Montrose Capital Management, Ltd., Robert Winston, and John Telfer, (Respondents) Case Number: 01-00659 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Scott Quinto, hereinafter referred to as "Claimant": David Crystal, II, Esq., Gilbride, Tusa, Last & Spellane LLC, New York, NY. Respondent, Montrose Capital Mana

N.A.S«D. AWftRD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dale R. & Kathryn A. Claiioants 90-01292 and Dean witter Reynolds, Inc. fti Mimm Shaun J. Wildt For Claimants! Fro Se. For Htopondents: Paul DuBcw, Esq. of Ooan Witter Reynolds, inc., San Ftansiaoo, CA. ram .— _ - Statonant of Claim filed: May l r 1990 Claimant's SubRdseion Agroonent signed on: Hay 18, 1990 Statement of Answ

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kelly Priest & Valentine DeLeon Claimant vs. David Cameron, Robert Ryder & Ronald Rosato OATH AND AWARD OF ARBITRATOR 90-01290 Respondents Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or re

N.A.S.D. bTLUJLftlHD AWARD NATIONAL ASSOCIATION OF SEOJRiTlKS BEMJ3RS In the Matter of the Arbitration Between T Name of Claimant (s) > Marie C. LudwicJc, as Trustee of the ) Marie C. Ludmidc Revocable Living ) Trust, Dated July 27, 1983 ) Case No. 90-0128^ Name of Respondent (s) ) \ r ==*=^= ) \'. Staith Barney Harris Upham & Co, Inc. ) U Leslie Peterson ) ., James A. Strainer ) Drexel Burnham Lambert, Inc. ) For Claimant, Marie C.

N.A.S.D. AWARD Arbitration National Association oi Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Florida 33301 (305) 522-7391 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Charles Schwab & Co . , Inc . Name of Respondent ( s ) Susan P. Hudson Bruce R. Lutz Heard before the arbitrator: Paul Sidney Elliott Case No. 90-01283 Public Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIJERS In the Matter of the Arbitration Between ) ) Name of Claimant(s) ) ) Charlotte Lyons as Personal ) Representative of the Estate of ) Robert S. Lyons ) Case No. 90-01281 Greentree Securities Corp. G.K. Scott & Co. Inc. Robert Peter Sauer, Jr. David Schaum Bernice Lerner For Claimant, Charlotte Lyons as Personal Representative ("PR") of the Estate of Robert S. Lyons