N.A.S.D. SWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants} Kenneth A, Kawailer 90-00533 Name of lianas A. Ttyhane Heard before: Mane Public/Industry Martin Jay Siegel Public Arbitrator Edward T. Hill Public Arbitrator Gusiir< j Patti Industry Arbitrarcox; Claimant, Kenneth Kawailer ("Claimant"), alleged that Respondent, Ofoonas A. Tryhane ("Respondent") made two unauthoriz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl James Zira 90-00532 nf Thcmas A. Tryhane Heard before: Name Public /Industry Ifertin Jay Siegel Public Arbitrator Edward T. Hill Public Arbitrator Gosimo Petti Industry Arbitrator Claimant, James Zima ("Claimant"), alleged that Respondent, Thomas A. Tryhane ("Respondent 1 ) sold his Phontel with authoriza

NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between/Among Robert Barra and James Kierman JTWROS Claimants vs. Berkeley Securities Corporation and Robert Fiorese Respondents Case #90-00529 AWARD CASE SUMMARY This case-was filed on February 20, 1990. Claimants, Robert Barra and James Kierman, allege that Respondent, Robert Fiorese, the registered representative employed by Respondent, Berkeley Securities Corpora

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc., Claimant v. Sam Murad, Respondent Case Number: 00-04734 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: James J. Vihstadt Ameritrade, Inc. Bellevue, Nebraska For Respondent: Sam Murad In Pro Per Aliso Viejo, California CASE INFORMATION Statement of Claim filed: October 19,2000 Claimant's Uniform Submission

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terry Guyer, Claimant v. Morgan Stanley Dean Witter, Christopher Frank and Carrie Austin, Respondents Case Number: 00-00489 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Novato, California For Respondents: Wendy R. Robinson, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION

t NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. \ \ In the Matter of the Arbitration Between ) ) Jack M. Wartels ) Claimant ) ) AWARD vs. ) ) NASD #90-00526 Sutro & Co., Inc. ) Irwin Olian ) Respondent ) ) SUMMARY OF ISSUES Claimant alleged misrepresentation, fraud, and breach of fiduciary duty by Respondents arising out of the sale in July 1989 of the common stock of Medco Research. Claimant also alleg

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John E. and Ruth Fitzgerald, Claimants Merrill Lynch, Pierce Fenner & Smith Inc., and William M. Elsbury Respondents SMMMff 90-00522 In a claim filed with the NASD on or about February 20 , 1990 John E. Fitzgerald and Ruth Fitzgerald ("Claimants 11 ) alleged that William Elstury ("Elsbury") and Merrill Lynch, Pierce, Fenner & Smith,

_ ^^ Arbitration • ~ l\jj\lOiJ- N.A.S.D. 2MKBD National Association of ® Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York New York 10004 In the Matter of the Arbitration Between nf Taro 6. Gehani i 90-00521 Name of Respondents; Fahnestock & Co. , Inc. Pace Securities, Inc.. Sentinel Securities, Inc. Michael A. Tannucilli Daniel A. Ball, Esq., Sole

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Between ) ) Name of Claimantfs) ) ) Michael Jacobson ) ) ) Case Number 90-00520 ) Name of Respondent(s) ) ) PaineWebber, Inc. ) Lawrence Wielgus ) Heard before the nenbers of the Arbitration Panel: Robert HerscJuann, Esq. Public John Darling Industry Judy Avey Public This matter was initiated by a Statement of Claim filed w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: ) Name of Claimant (s) ) Samuel Kleinman ) ) CASE f 90-00515 Name of Respondent (s) ) Shochet Securities , Inc . , ) Marvin Shochet and Charles Light ) Heard before the members of the Arbitration Panel: Casey W. Mills, Esq. George R. Canty, Jr. S. Richard Savage CASE SMftRy This claim was filed with the National Association of Secu