Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Samuel L. Kleinman Trust Names of Respondents Morgan Stanley Dean Witter, Inc. Joseph Anthony Fezza -Case No .-00-04878 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Samuel L. Kleinman Trust ("Kleinman") hereinafter referred to as "Claimant": Darren C. Blum, Esq., Plantation, Florida. For Morgan Stanley Dean Witter, Inc. ("

N.A.S.D. AWARD NATIOTRL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Sam Rothman 90*02512 Name of Respondents Rosenkrantz, Lyon & Ross, Inc. Dan Purjes Dan Slums Wertheim Schroeder & Co., Inc. For Claimant : For Respondents; Sam Rotbman appeared pro se. Wertheim. Schroeder & Co., Inc. was represented by Patricia M. Kelly, Esq. of the law firm of Fnl bright & Jaworski.

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" Name of naimantfs) Ronnie Cohen Name of Respondents) Marvin Herman Michael Novak National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-02510 Heard before the arbitrator: Randy R. Freedman, Esq. Public Claimant,

NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Iharies W. Andrews ' Claimant: vs . CASE #90-02509 AWARD Hopper Soliday and Co., Inc. Philadelphia Corporation Gordon Wright Robert Smith Respondent: CASE SUMMARY Pro Se Claimant:, Charles W. Andrews, in a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1990, allaged that Respondents Hopper Soli

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter and Denise Mattiace, JTWROS Claimant vs. Maurice J. Lyons Respondents CASE #90-02504 AWARD CASE SUMMARY Pro Se Claimants Peter and Denise Mattiace, in a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1990, alleged that Respondent Maurice J. Lyons, while employed as a broker at J.T. Moran & Co., Inc.,

N.A.S.D. AMENDS) AWARD ASSOCIATION OF SECURITIES DEALERS In toe Matter of the Arbitration Between ) pf (3) Henry -K, Ruscimeyer Name of Respondent (a) Dean Witter Reynolds, IDC, ) ) Case No. 90-02503 For Claimant, Henry Ruscimeyer ("Rusciineyer") : Meal Blaher, Esq. of Allen, Dyer, Doppelt & Franjola. For Respondent, Dean Hitter Reynolds, Inc. ("Dean Witter") George Sullivan, Esq. of Dean Witter Reynolds, Inc. case Statement

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02502 AWARD In the Matter of the Arbitration Between Lawrence R. Goldberg Claimant vs. Brennan Ross Securities, Inc. Respondent CASE SUMMARY Lawrence R. Goldberg, in a claim filed with the National Association of Securities Dealers, Inc. on September 7 , 1990, alleged that Respondent's representative, Steven Meyer, misrepresented the sale possibilities of CONEXCO stock purchase

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ^fetter of the Arbitration Between) ) Name ot narmant(s) ) ) Kamel Asuidad ) Name of Resprmdent::/a) Dominick & Daminick Incorporated LIT America, Inc. Heard before the arbitrator: Patricia A. Shub, Esq. \ Case No. 90-02501 Public Claimant, Karnei Aouidad ("Aouidad"), was represented by Stephen Sussman, Esq. of the Law Offices of Stephen Sussman. Respond

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Oeatora, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 David J. and Maryanne L. Malach 90-02499 Name of Respondents Stuart James Company, inc. Russell Finster For Claimants: Robert I. Rabinowitz, Esq. For Respondents: John F. McBride of Hart and Trinen.

Arbitration N.A.S.D. AWARD NA2TCNAL ASSOCIATION OF SBCDRTXTES DEMURS In the Matter of the Arbitration Between. Name of Claimant (s) The Estate of TiPfrui M. Cannistraro Mane of Respondent (s) Prudential-Bache Securities Inc. Thcmas J. lavecchia Joel B. Srodes L. James Crozier National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 (305) 522-7391 Case No. 90*0