N.A.S.D. AVVXRD NATIONAL ASSOCIATION OF SECURITIES DEALERS iu tiic Matter of ihe Arbitration Between Harold R. and Itorothy R. Smith 92-03308 f Respondents Private Ledger Financial Services. Inc. Eric A.. Solomon la a claim filed with the National Association of Securities Dealers. Inc. on September 30. 1992, Claimants Harold R. and Dorothy R. Smirh, who appeared Pro Se. alleged that Respondent Eric A. Solomon, who was employed by the Respondent

. AWARD NATIONAL ASSOCIATION OF SECURITIES HEAT.F.RS. INC. In the matter of the Arbitration Between Dolores Scherer - NASD Arbitration No. 92-03164 v. of Respondents Dean Witter Reynolds, Inc. HerbRobisch BEEBESEKEAHQK For Claimant* Claimant appeared i For Respondents: MioneUe Bryan Oroschakoff; Esq., Dean Witter Reynolds, Inc, SanFraneitob. CASK. TNffOPMATTON Statement of Claim filed: September 21, 1992 Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. la. the Matter of the Arbitration Between Name nf Joan K. Johnson and the Joan K. Johnson Revocable Living Trust and 92-02930 o Oppenfadmer & Co., lac.. Warren K. Hayes. Carl Chakff, Gety Sadzewtcz and ferry Slansky TION OF Joan K. Johnson and the Joan K. Johnson Revocable Living Trust ("Claimant") was represented by Matthew D. Wayne. Esq. of Fisaman & Menick, P.C., Chicago,

NJLSA AWARD NATIONAL ATtoN OP In the Matter of the Arbitration Between nf Thomai D. Rothstein NASD Arbitration No. 92-02828 of Sheenon Lehman Brotta, Inc. Mkhflel Recbt ForClaimint: RfckiC. Riios, Bsq M lawOfftcwof RickiC. Ring, LotAngclee, For Respondents: Michael C, Licowti, Biq., Keewl, Young A Logan, Long Beach, California Statament of GlaiiE filed: August 21, 1992 SubizriBsiati Agreemect signed: Angust 14, 1992 J

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant IFG International Trust Company Limited, as Trustee of the Lorenzetti Trust, Manzoni Trust, Nonna Trust, Orozco Trust and Pistoletto Trust Name of the Respondent UBS Financial Services, Inc. Case Number: 05-03163 (consolidated with 05-04713, 05-04983, 05-05345 and 05-05879) Hearing Site: Boca Raton, Florida In the Matter of the Arbitratio

M.A.S.D. AWARD NATIONAL ASSOCIATION c? SECURITIES DEALERS I." the Matter ~z rhe Arbitration Between Name -:f Claimant Edward M. ".oilin 52-00061 Name of Respondents Smith Barney, Harris 'Jpham i Co., Inc. *nd William J. 'aaigan PRESENTATION For Claimant Zdwara X. Roilin: Waiter D'Ull or the law offices of Waiter D'Ull. For Respondents .Smith Barney Karris Upham & Co. , Inc. and William J. Tadigan : linda Aipert of Smith Barney, Harri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Denis H. Herlihy 91-03964 Name of ResnondenUs) A.G. Edwards & Sons. Inc. Kidder. Peabody & Co.. Incorporated Patrick J. Cahifl REPRESENTATION For Claimant. Denis H. Herlihy ("Claimant"). Paul P. Lynch, from the law firm of Carolan. Sullivan & Greeley. For Respondent. Kidder. Peabody & Co.. Incorporated ("Kidder.Peabo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between of Ann Marie Rehmert 92-00016 of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc Thomas P. Cant re 11 For Claimant Ann Marie Rehmert: Claimant appeared Pro Se. For Respondent Merrill Lynch, Pierce, Fenner & Smith, In Respondent Merrill Lynch settled before the hearing. For Respondent Thomas Cantrell: Claimant appearsd Pro Se. CAS

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Barbara L. Mueller, (Claimant) v. E.D.& F. Man International, Inc., n/k/a Man Financial, Inc. (Respondent) Case Number: 99-03670 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Barbara L. Mueller ("Mueller"): Jack Leyhane Esq. and Mark Boyle, Esq. of the firm Boyle & Leyhane, Ltd. located in Chicago, Illinois. Respondent E.D.& F. Man International, I

N.A.S.D. PRE-HEAWNO ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Names of Stephen D, Leonard eta]. 91-01803 and Names pf Respondents Shearson Lehman Brothers, Inc. This matter came on to be heard before the undersigned arbitrators convened in a pre- hearing conference in Scottsdale, Arizona on Friday, May 28, 1992 for disposition of certain pending motions. Claimants were represented by Denn