Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vladimir Gourevich and Gene Dvorkin, (Claimants) vs. Bluestone Capital Corporation f/k/a Whale Securities Co., Inc., Dmitry Aranovich, GKN Securities Corp., and Carlos Garceran, (Respondents) Case Number: 00-04792 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Vladimir Gourevich ("Gourevich") and Gene Dvorkin ("Dvorkin"), hereinafter collectively

Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASD Financial Center - - 33 Whitehall Street ) New York, New York 10004 In the Matter of the Arbitration Between ) ) CHARLES H. EDEN, JR. as Executor of the Estate ) CASE NO. 90-01599 Claimant of Harriet C. Roberts ) v. ) ) SHEARSON LEHMAN BROTHERS, INC* ) STEPHEN PRESCOTT, ) Respondents ) REPRESENTATION For Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Simoons Gorreia Jt. 90-01597 Ninne of Reflpc T^J M»I i Brothers r Enc. Gocreia, Jr. ("Claimant") miLUPCTitnl himself Respondent *ihmrgr?n t^a«i«n Button, Tnn. ("RcepCDdeat") was represented by WLlllam A* ft^hmimrr, Associate General r^niff^i foo: Shearacn Lehmm Brothers, Inc. Statement of Claim filed: June 7, 1990. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Hams of Clalimnt(s) ) Michael McNamee ) Name of Renpmrtpnt (s) 9BOBHIE&9BR9MMI^S^^^S&^^^^^^S5S Shearson T^»H»TI Button, Inc. Thomas Vietzte Michael J. McUamee, Jr. Case No. 90-01593 Ptar Claimant, Michael ****• ....... ("McNamee Sr."): Joel and Nekvasil, P. A. f Esq. of For F>VIJ^N • M Viil M. Button, Inc. ("Shearscn")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ) Fran Lalouche ) Claimant ) ) AWARD vs. ) } NASD NO. 90-01590 Shearson Lehman Hutton, Inc. ) Dennis Schwary ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 5, 1990. Claimant alleged: lack of suitability in the purchase of securities in Lomas Financial

H.A.S.D, AWARD NATICNSL ASSOCIATION OF SECURITIES DEALERS In the Matter of frh* Arbitration Between Gerald Simini and Anna Paolucci NASD Arbitration v No. 90-01589 Dean Witter Reynolds, Inc. Shearson Tftimm Button, Inc. Timothy Stockton For Claimant: Michael W« King, Esq. - Dernier, Armstrong & Rowland For Responds! t: Dean Witter Reynolds, Inc. - Curt H. Mueller, Esq. Hutted, Inc. - *••**"*« Yarden, Esq. No Appearance by Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Rose Izzo Claimant(s) ARBITRATION vs. AWARD 90-01588 Advest, Inc. and Thomas J. Loffredo Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Rose Izzo alleged that Respondent(s) Advest, Inc. and Thomas J. Loffredo invested Claimant's monies in unsuitable securities. Respondent(s) maintain that the investments in questions were similar to previous

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John and Donna O'Brien Claimant vs. Ralph A. Aballo Respondents OATH AND AWARD OF ARBITRATOR 90-01586 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 related by blood or marriage to any of the

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Shahid Kamal and Zeenat S. Kamal, (Claimant) vs. Salomon Smith Barney, Inc., Gruntal & Co., Inc., and Michael M. Friedman, (Respondents) Case Number: 00-04791 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Shahid Kamal ("S. Kamal") and Zeenat S, Kamal ("Z. Kamal"), hereinafter collectively referred to as "Claimants": Kevin P. Claffey, Esq., Claffey & Mas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Claimantfs^ Joseph S. Dobransky 90-01575 : ' Nama of Respondentfsl Prudential-Bache Securities Inc. Winston Margozswitz rase SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about June 4, 1990, Joseph Dobransky ("Claimant") alleged that Winston Margozewitz and Prudential-Bache