N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rafael Perez Garcia 91-03177 Name of Respondents Dean Witter Reynolds, Inc.; Ben Moses REPRESENTATION For Claimant: Rafael Perez Garcia was represented by Walter T. Weathers, Esq. of Houston, Texas. For Respondents: Dean Witter Reynolds, Inc. and Ben Moses were represented by Wendy R. Robinson, Esq. of Dean Witter Reyno

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harry S. and Edna S. Willey Case No. 91-03173 Name of Respondents U.S. Clearing Corp. Thomas Wiseman John Weir REPRESENTATION For Claimants, Harry S. and Edna S. Willey ("the Willeys"): Louis B. Voceile, Jr., Esq. of Clem, Polackwich & Voceile. For Respondent, U.S. Clearing Corporation ("U.S. Clearing"); Richard One of

K.A.S.D. AWARD NATICNAL ASSOdaiTCN OF SBCDRTnES BEATERS In the Matter of the Arbitration Between of Mil tan. Grossman vs. NASD #91-03170 NagPB Of P«-»m " • iHani-g Prudental Securities, For claimant: M. Q For Sespoodent: J. Capezzuto, Esq. , of Prudential Securities, Inc. , New- York, New Yorfc. Statement of ^«-*" filed: October 10, Claimant's Submission Agreement signed: October 30, 1991 Statement of Answer filed by Respondent on: J

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Henry Bates, Claimant v. Case Number: 00-5248 Pmdential Securities, Inc., Michael Kanehl, and Mark N. Blackwell, Respondents. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Henry Bates, hereinafter referred to as "Claimant": Fred L. Kretschmer, Jr., Esq., Moss, Henderson, Blanton, Lanier, Kretschmer & Murphy, P. A., Vero Beach, Florida.

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, _NC. CASE #91-03167 AWARD In the Matter of the Arbitration Between Anne 0. Foote Claimant vs . Dean Witter Reynolds, Inc. John Parlett Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 10, 1991, Claimant, Anne 0. Foote, through her representative Amadeo R. Halili, alleged that Respondent, Dean Witter Reynolds, I

N.A.S.D. AWARD HATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joyce Breach vs. Name of Respondents Gruntal & Co., Inc. Christopher Gautrau Case # 91-03164 National Association of Securities Dealers. Inc. NASD F'-ancial Center 33 Whitenat! Street New YorK. N.Y 1 0004 FAX (212)653-4389 KstTceaarfrma.-j.ClT For Claimant, Joyce Breach, Gerald E. Marcus, Esq

N.A.S.D. MOD ASSCdAHCN OP smiim-iUM DEALERS the Matter of the Arbitration Between M3IDS Of Tony Piore 91-03158 Shearson l^Ywrnn Brothers, Inc. Richard For Cladaant: Anthony Hem, Esq. of Philadelphia, Pennsylvania. For Respondent Shearson T~****~ Brothers, Inc.: Louise Bailey-Matte, Esq. of Peterson, Dillard Young, Self & Asselin in Atlanta, Georgia. Respondent Richard Etoglish appeared pro se. Statement of ClaiTn filed: October 8, 1991.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03154 AWARD In the Matter of the Arbitration Between Lorinda M. and Mark J. Lowe Claimants vs. Malone & Associates, Inc. Wayne Wheeler Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimants, Lorinda M. and Mark J. Lowe, who appeared Pro Se, alleged that during the period of November 20, 1990 to Dece

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03151 AWARD In the Matter of the Arbitration Between Suzanne G. Merrill Claimant vs. Shearson Lehman Brothers, Inc. Ronald Granucci William F. Stepanek Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 8, 1991, Claimant, Suzanne G. Merrill, who appeared Pro Se, alleged that Respondent, Shearson Lehman

N.A.S.D* AWARD NATICMMj ASSOCIATION OF SfcXJURl'i' ' *«*•* DERIVES In the Hatter of the Arbitration Between. Q£ Ralph A. and Virginia B. Shaw, individually and Ralph A. and Virginia B. Shaw, as trustees of the Shaw Trust 91-03147 £• -V £* «- . -- -- llama Q£ Ramjcinlflnt-p - -.v- 3* ^^^^^^^^^^M^MIM^^B^MI sr- *;•• Dean Witter Reynolds, Inc., H" Henry Westberry and §,' Gary Hofer Claimants, Ralph A. Shaw, Virginia B. Shaw and R