/VASO N.A.g.P. Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jtetter of the Arbitration Between Name Of Claimant Ellinor Pederson vs National Association of SacuritlM Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 90-02080 PaineWRhter, Inc. William Ttodd Heard before the members of the Arbitration Panel: Name William M. Prifti, Esq. Simon J. Tager Elwynn J.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02079 AWARD In the Matter of the Arbitration Between James S. Jablonski and Eleanor Jablonski Claimants vs. David Dever Financial Clearing and Service Corporation Respondents CASE SUMMARY James S. and Eleanor Jablonski, in a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1990, alleged that Respondent and broker, David Dever, failed to properly

Arbitration N.A.b.U. -3» NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of rUflJJIBnt-fi Vitaly & Galina Shevoroshkin, JTTEN 90-02077 Name of Respondent. David Letourneau National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimants Vitaly and Galina Shevoroshkin ("Claimants"): Anthony V. Trogan

Arbitration N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betaken) ) frjarns of Cj-3_Lmajit (s) ) ) Jesus Meneses ) ) ) ) Name of Pggpnnrfaant (s \ } \ i Shearson Lehnan Brothers, Inc. ) Gaston Rozenwald ) Michael Ghaanis Nations Awocfation of S«curt««« OMtert, Inc. One East Brovard Boulevard Suite tQOO R. Lauderdale, Florida 33301 (305) 522-7391 Cas

N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the totter of the Arbitration Betvreeri ) Name of flaimantfsl ) Bindura Corporation, N.V. & A. Carstens ) ) ) Name of Respondent (s \ ) ) Shearson Lehman Brothers, Inc. ) Gaston Rozenwald ) Michael Ghaemis ) Case No. 90-02073 Heard before the members of the Arbitration Panel: Richard A. Freeman, Esq. Charles H. Brodzki, Esq. Robert S. Natiss Public Publi

Arbitration ® "-A-S.D. JWftRD National Anociatfon of Securttto* Orator*. Inc. NATIONAL ASSOdAITCN OF SECURITIES DEALERS One East Broward Boulevard Suite 1000 Ft. Lauderdale, Rorida 33301 In the Matter of the Arbitration Between T (305) 522 ' 7391 Name of na-im«t(a) ) Robert Blitz ) Esther Blitz ) ) Case Mo. 90-02071 Name of PMnxrrtppt (s) ) Kenneth W. Brown } J. W. Charles, Inc. ) For Claimant, Robert and Esther Blitz

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jesus Davila, Claimant v. Morgan Stanley Dean Witter, Inc. and Isidro Z. Miramontes, Respondents Case Number: 00-04523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Jesus Devila: For Respondents Morgan Stanley Dean Witter, Inc. and Isidro Z. Miramontes: David J. Cowan, Esq. Law Offices of David J. Cowan Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ttetter of the Arbitration Between Name of f!laimantifs| Helen M. Halvorsen 90-02067 Name of Dean Witter Reynolds, Inc. David Hone Heard before: Name Public /Industry Robert D. Rankin, Esq. _ Public _ _ This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD 11 ) on August 3, 1990. Claimant, He

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90 QJM3 AWARIT In the Matter of the Arbitration Between Jacques Mertens Claimant vs . Herzog, Heine, Geduld, Inc. Respondent CASE SUMMARY Jacques Mertens, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1990, alleged that Mutual Series Fund, Inc., Shawmut Bank of Boston and Herzog, Heine, Geduld, Inc. gave him varying and mislead

- J=lPR 30 '91 Q9 ; 2S OMNI 614 451-3030" HKK & '»! iViJ N.A,fl.D. HKTICtttL ASSOCIATION OF SECURITIES DEALERS In tho Jtotter of the Arbitration Between of Claimant Lawrence William 90-02062 H. William Pierce John Bradley Heard beforet Nona Public/Industry Benjamin B. Segel Public AcfaitrtJbor In a clato filed on JUly 26, 1990, Uwrertce W. NUIflr ("Claimant"}, R. wdliMl Fierce and Jtohn to psowtly rollover the proceed