Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Anoctatfon of Securitto* DMtar* Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Janes A. DeRespiris vs Name of 90-02544 Dean Witter Reynolds, Inc. Ferdinand Pineda Heard before: Name Allen Kilik, Esq. Public - Sole Arbitrator Claimant, James A. DeRespiris, represented

N.A.S.D. AWARD NftTICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hazel M. Day Claimant v. 50-02540 G.W. Story & Associates George W. Story Respondents For Claimant: Vincent DiCarlo, Esq., Bartel, Sag, Miller & Tomgren, 300 Capitol Mall, Suite 1100, Sacramento, CA 95814 For Respondent: Stephen F. Boutin, Esq., Boutin, Lassner, Gibson, Perry & Delehant, 455 Capitol Mall, Suite 300, Sacramento, CA 95814-44

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Thomas J. Rosener #90-02539- AWARD vs . Concorde Brokerage Corp, Paul Eisenberg Respondents : CASE SHIMMY In a claim filed with the National Association of Securities Dealers, Inc. on September 20, 1990, Claimant, Thomas J. Rosener who appeared Pro Se, alleged that in March 1989 he received notification that his security positions of 100

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Strother Investment Co., Inc., Strother Film Partners II, a California Limited Partnership, Richard Strother, individually, Richard Strother as Custodian for Troy Strother, and Richard Strother as Custodian for Erica Strother, (Claimants) vs. PaineWebber, Inc., (Respondent) Case Number: 00-04883 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Strother

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS "~ In the Matter of the Arbitration Between Name of Claimant* s^ Arthur R. DiNicolantonio 90-02535 Name nf First Fidelity Capital Corporation Ian R. Hosang For Claimant: Arthur R. DiNicolantonio appeared pro se. For Respondents: First Fidelity Capital Corporation did not appear. Ian R. Hosang appeared pro se. Statement of Claim filed: September 12, 1990 First Supplement to Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Sam Letheby 90-02533 Name of RespQiyteni" :f a ) Dean Witter Reynolds, Inc. Diane Rolf smeyer Claimant Samuel J. Letheby appeared nm gg. Respondent Diane Rolfsmeyer appeared and was represented by Steven Speicher Esq. Respondent Dean Witter Reynolds, Inc. and George Easiey was represented by Kurt Mueler and appeared as Dean Witter R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. ) ) Name of Claimant (s) ) ===== } Lewis Rowe ) ) ) Case No. 90-02532 ) of Respondent (s) ) Shearson Lehman Button, Inc. ) David J Williams, III ) For Claimant, Lewis D. Rowe ("Kowe") : Majorie Miller, Esq. of the Law Offices of Marjorie Miller. For Respondents , Shearson T^i-man Button, TTV? . ( "Shearson 11 ) and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of Claimants Lois and Douglas Maxell 90-02531 nf Respondents Mesirow Capital Markets Mesirow Capital, Inc. Douglas I. Maxwell, Jr. appeared DTP se. Mesirow Capital Markets and Mesirow Capital, Inc. v^re represented by Ttanas Sax r Esq., Arvey, Ifodes, Costello & Barman, Chicago, IL. PaSR 5JMHBHT In a statement of claim file

N.A.S.D. £NAKD of Helen B. gaiif-nniim charlotte H. and. Elmer w. Urban and 90-02528 «ytecli£f Securities, Inc. et al. CF Claimants Charlotte H. a ™j ramon- w. Urban appeared and were represented by Karen Lavin, Esq., MdHfenry, Illinois. Claimant Helen Kaufmana did not appear but vaas represented by Karen Lavin, Esq. Respondent James Dcfebs appeared pro se and on behalf of Respondent Woodfield Planning Corporation, Palatine, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norman R. Ross, individually and as Trustee 90-02516 Mane of Respondents J.J.B. Hilliard f W.L. Lyons, Inc. Harry Zorncw For Claimant: Norman R. Ross represented himself and the Trust. For Respondents: Kenneth L. Wagner, Assistant General Counsel, J.J.B. Hilliard, W.L. Lyons, Inc. Statement of Claim filed: September 7, 1990. Claiman