Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATICNAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York, N.Y. 10004 FAX (212) 858-4389 Name of Claimant John W. Sorfcvist 91-03642 Name of Respondents PaineWetber, inc. Tina Singh Ronald Glicfcman For Claimant John W. Sortevist ("Claimant") : Robert D. Piliero, of Piliero &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) C, William Dover and Patricia Dover as Joint Tenanta Case No. 91-03638 Name of Respondents) Corporate Securities Group, Inc. and the Estate of Lewis Leeds For Claimants, C. William Dover and Patrica Dover ("the Dovers"): Michael Pauie of Investors Arbitration Services, Inc. For Respondent, Corporate Securities Group, Inc

M.A.S.D. AWARD NKTICWAL ASSOCIATION OF SECURITIES DEALERS 91-03637 Steven Brater R.J. Steichen & Coopany Hayne, Miller & Swearingen IDC. For Claimant: Pro ae. For Respondent Steven Brater: Pro se. For Respondent R. J. Steichen & Coipany: John R. Dorgan, SsqT^oF^Fraixnelt & Eide, Ltd. r Minneapolis , Minnesota. For Reapaadent Hayne, Miller & Swearingen, Inc. : Frank A. Taylor, Esq. of Popbam, EaUc Scimobrich & KaurJDan r Ltd. , my

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Harvey Jacobson and Barbara Jacobson Case No. 91-03636 Name of Resoondent(s) Dean Witter Reynolds, Inc. REPRESENTATION For Claimants, Harvey and Barbara Jacobson ("Jacobson"): Arnold Y. Steinberg, Esq. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Peter J. Aldrich, Esq. of Broom, Kelly & Aldrich. CASE INFORMATION

N.A.S.D. AHAKD NATIONAL ASSOCIATION OF SfeUJRiTIES DEALERS HT) n •'/' -- •' r- - In the Matter of the Arbitration Between ) j > '* > uc"-~ Of CTIa-imaTit(s) ) " Christopher H. Kittlescn ) ) ) Case No. 91-03635 Name of Respondent (s) ) ==sa """ Shearson T^hman Button, Inc. Claimant, Christopher H. Kittleson {"Kittlescn") : was pro se. For Respondent/ Shearson r^Hnan Button ("Shearson") : Scott Almas of Shsarson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard A. Diglio, (Claimant) vs. Investor's Advocate, LLC, Jason Watkins, and Steven Maczka, (Respondents) and Investor's Advocate, LLC, (Claimant) vs. Richard A. Diglio, (Respondent) Case Number: 00-05277(Consolidated w/00-05375) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard A. Diglio ("Diglio"), appeared pro se. Previously represented by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PUBLIC Richard J. Seraphin 91-03633 f P^aondents Mid-State Securities Corp John Bendokas Randolph L. Messina Nicholas A. Codispoti For Claimant Richard J. Seraphin: Mitchell Cobert, Esq. of the Law Office of Mitchell Cobert. For Respondents Mid- State Securities Corp. , John Bendokas, Randolph L. Messina and Nicholas A. Codispoti: G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the'Matter of the Arbitration Between Name of Claimants Donna Censoni Janet Censoni CASE #91-03631 Name of Respondents Merrill Lynch, Pierce, Fenner '& Smith Scott Uffelman REPRESENTATION For Claimants Donna Censoni and Janet Censoni: Joann M. Carlson, Esq. of the Law Office of Joann Carlson. For Respondents Merrill Lynch, Pierce, Fenner & Smich and Scott Uffelman: Todd

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SBCDR1TTES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between FA)?< 21 21* ^58-4389* Of Robert 0. Ealch CASE NO. vs. 91-03627 o f Dean Witter Reynolds Inc. Shearson T^Vwnan Brothers, Inc. Michael A. Ewanouski For Claimant, Rctoert 0. Balch, Tfcanas H. Tucker, Esq. from the law firm of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-03626 AWARD In the Matter of the Arbitration Between Robert A. Cergol Claimant vs. Smith Barney, Harris Upham & Co., Inc. James Pomfret Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 19, 1991, Claimant Robert A. Cergol who appeared Pro Se r alleged that in May 1987 he established an IRA account and tr