NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between P1anners JEndependent Management, Inc. 'Craimant CASK vs. Charles R. PettiJohn Respondent CASE SUMMARY Planners Independent Management, Inc., in a claim filed with the National Association of Securities Dealers, Inc. on November 7, 1990, by Jack K. Heilbron, President, alleged that Respondent and customer, Charles R. Pettijohn wrongfully received an

7VASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between tjarrs of Claimant-. PaineWebber, Inc. vs. Name of Respondent Dezsoe Haimi Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-03154 For Claimant: Valaree M. Moodee f Esq., in-house counsel. For Respondent: Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Betaken Name of nainwnt-.s Stanley H. Pelter 90-03151 Name of Respondents; Shearson Ifihman Hut ton, Inc. Mark Jay Rafaloff Andrew Rudolph For Claijnant: Stanley M. Ackert III, Esq. of Blum, Gersen & Stream. For Respondents: Paul R. Williams, Esq. of Schupbach, Williams & Pavone. Claimant filed a Statement of Claim on October 26, 1990 and signed a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Trade Advertising, Inc., (Claimant) vs. Adolph Komorsky Inc., Peter Adolph, and Bear Stearns Securities Corp., (Respondents) Case Number: 00-04547 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Trade Advertising, Inc., hereinafter referred to as "Claimant": David E. Neitlich, Esq., Attorney at Law, Boston, MA. Respondents, Adolph Komorsky Inc. ("AKI") an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Betaken ) ) Name of Bette Muskat } ) ) Case No. 90-03122 ) Name of Regpondentfs| ) ) Pructential-Bache Securities Inc. ) Ivan R. Gefen ) John Pandolf i ) For Claimant, Bette Muskat ("Muskat"): Patricia A. Snub, Esq., of Shub & Barclay, P.A. For Respondents, Prudential Bache Securities, Inc. ("Prudential"), Ivan Gefen ("Gefen"),

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS prr-r^r' ' In the Matter of the Arbitration Between ) 11^,- • -• L \ -" * >' ; - O — \ r - '^ " Ngnvg of fT^iTrant (s) ) i i '•. ..-•- Tbomas & Marcia Devine ) .------ " ) Case Nb. 90-03120 Name of Bespcirientte) ) G.K. Scott & Ccnpany ) Peter C. Kapreilian ) For daimant, Tbooas A. Device aod Marcia M. Devine ("Devices") : Robert G. Hines, Esq. For Responde

NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Jtatter of the Arbitration Between Arbitration AMOcJatfoo of SccurttfM Dwi«r*, inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 3330t (305) 522-7391 Nicholas Corcokios Mama of P oa O''-f s\ G.K. Scott & Co. Inc. Alierton Itowne Tojnotny Cirauio Heard before the Arbitrator: Louise T. Jeroslow, Esq. ) Case No. 90-03117 Public Claimant, Nicho

N.A.S.D. AWARD NKEECNAL ASSOCIATION OF SBCUKl'i'lKS DEALERS In the Matter of the Arbitration Between" of Rose D. Adler 90-02942 Name of Respondent (s) Kidder, Peabody & Co., Incorporated Richard Reid/ For Claimant: William. Greenberg, Esq. For Respondent; Ihomas A. Duhbs, Esq. CRSE INPOKMKnXK Statement of Claim filed: October 19, 1990* Attended Statement of ma-im filed Nbvsiber 8, 1990. Claimant's Reply to Response of B^mpqtvfe"

Arbitration " N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Seth Justman vs. Name of Resnrrelpnta Sbearson r^«i«n Brothers, Inc. Kathleen Hegenbart National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 90-02937 For Claimant, Seth Justman, Tfcanas Butters, Esq. of Cullen & Butters.

N.A.S.D. AWARD NKTICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Thomas J. Peters Leslie J. Schurr Peter A. Lomeo Mary M. Swanson DeArle Masters and Jeffrey J. Salemme Name of pQspnndent ( s ) Princeton Financial Group Anthony J. Pontieri Jerry Frederick Shorthouse Charles Brimble Case Nos, 90-02932 90-03202 91-00066 91-00353 91-00536 91-00537 For Claimants ,