-NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joanne C. Samuelson Lee Inkmann, JTWROS Claimants CASE #90-02805 vs. AWARD Joni Lynn Merwin Respondent CASE SUMMARY Pro Se Claimants Joanne C. Samuelson and Lee Inkmann, in a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1990, alleged that Respondent Joni Lynn Merwin, while an account executive with Blinder

N.A.S.D. AHARD NATICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of InnoVet, Inc. Haneof Case No. 90-02799 Drake & Co. United States Capital Corp. Paul M. Misch Heard before the maiimia of the Arbitration Panel: Arnold Y. Steinberg, Esq. Public T.inrifl Singer Stein, Esq. Public Richard B. Frost Industry Claimant, InnoVet, Inc. ("InnoVet"), was represented by Jim Scutti, Esq. Responde

Arbitration ® N.A.S.D. AWARD NKTXCNMi ASSOCIATION OF SBCQRIT1ES DEALERS la the Matter of the Arbitration Between Mama of Scott Walter & Kathryn M. Stroncek Robert C. & Jeanne Eanann Lucille M. Herringshaw & Violette L. Stroncek Violette fc. Stroncek Mage of Reflpnndeat(s) U.S. Advisors Inc. Circle R. Fbland Dennis M. William National AaaocJatlon of StcurttlM Ctotfer*, inc. One East Sroward Boulevard Suite 1000 Ft.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02125 AWARD In the Matter of the Arbitration Between Patricia R. Kosmal Claimant vs . Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY Patricia A. Kosmal, in a claim filed with the National Association of Securities Dealers, Inc. on August 2, 1990, alleged that Respondent was negligent in the execution of a requested transfer of her IRA account to another

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02115 AWARD In the Matter of the Arbitration Between Michael B. and Carol A. Russell, JTTEN Claimants vs . Howard Frank Butcher & Singer, Inc. Respondents CASE SUMMARY Michael B. and Carol A. Russell, in a claim filed with the National Association of Securities Dealers, Inc. on July 30, 1990, alleged that Respondent Howard Frank, of Butcher & Singer, Inc., furnished in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE 190-02112 AWARD In the Matter of the Arbitration Between Themistocles Michaelides Claimant vs. Dean Witter Reynolds, Inc. Lcuis Chamales Dean Witter Financial Services Group, Inc. Respondent CASE SUMMARY Themistocles Michaelides, in a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1990, alleged that Respondents misrepresented the actual value

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Betty Johnson, (Claimant) vs. Investor's Advocate, LLC, Steven Maczka, and Jason Watkins, (Respondents) Case Number: 00-04527 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Betty Johnson, hereinafter referred to as "Claimant", appeared pro se. Respondents, Investor's Advocate, LLC ("Investor's"), Steven Maczka ("Maczka"), and Jason Watkins ("Watkins")

-NATIONAL ASSOCIATION OF -SECURITIES DEALERS, INC, CASE #90-02109 AWARD In the Matter of the Arbitration Between Louis J. and Mary T. Artioli Claimants vs . Charles Schwab & Co., Inc. Respondent CASE SUMMARY Pro Se Claimants Louis J. and Mary T. Artioli, in a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1990 f alleged that Respondent Charles Schwab & Co., Inc. failed to execute a sell

^Q N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEATHS In the totter of the Arbitration Between ) Name of nai ) Raymond M. and Johanna C. Monterosso ) ) ) Name of Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-02107 John Mace Heard before the matters of the Arbitration Panel: George Felos, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vicki L. Dillner Claimant vs. Dean Witter Reynolds, Inc. and Roger L. Cole Respondents AR3l TRA-nON-CH«CAGO REPRESENTATION OF PARTIES Claimant was represented by Robert W. McPherson, Esq. of Golden, McPherson & Wilson, P. C. , Memphis, Tennessee. Respondents were represented by Edward W. Larkin, Esq. of Dean Witter Reynolds, Inc