N.A.S.D. NMTCNAL ASSOCianCN OP SECDRITQS DEALERS In the Matter of the Arbitration Between"" cdstein 91-00788 £J£L B3T Inc. anaett A. LarJdn For Claimant: Mr. Lee Swift For Respondent: Remington Securities, Inc. Mr. Nicholas Fleming For Respcnrtmt; Bsnett A. lazfcdn ft Co., Inc. Mr. Melvin Peteraon. Statoeat of Claim filedi March 13, 1391 daiamits' Sufcndsaing agriiiiimit signed en* Ibzcb H, 1591 Stataasnt of Aosiiei: filed by RMp

N.A.S.D. AWARD HRXICK&L ASSocraarctT OP SECURITIES DERLERS In the Matter of the Arbitration. Between June Davits vs. 91-00744 anith. Barney, Harris U&baa & Co., Inc. Corissa "rfi1 OB MI For dainents Mitchell C. Green, Esq., Los Angeles, California For Seepcndsntss David S. Priedaau, Esq., Snith Barney, Harris 0£ham & Co., me., NSW Ybrk, New Yodc Sta t of nn-in fUcdi Much 8, 1591 Joint Statanent of OQS Pebcuaxy 28, 1991 filed by a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, Inc. Claimant(s) vs. 90-01278 Dimitar Dermendziev Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. alleged that Respondent(s) Dimitar Dermendziev is liable for a debit balance in his account. Respondent did not answer. RELIEF REQUESTED

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name er Lolita M. Stone Living Trust, Lolita Stone and Donald M. McDonald as Co-Trustees, and Manual Martinez and Donald M. McDonald as Co -Guardians for Lolita M. Stone 90-01248 Name of Shearson Lehman Hutton, Inc. formerly doing business as E.F. Mutton & Co., Inc. and George Matthews For Claimants: Donald M. McDonald of 4817 L

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Vernon E. Binion ) Claimant ) ) AWARD vs. ) ) NASD #90-01140 PaineWebber, Inc. and ) Robin Tallferro ) Respondents ) ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers ("NASD") on April 23, 1990. Claimant alleged that the commodities trading recommended by respondents was unsuitable; t

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Steven R. Hook Claimant(s) vs. Ra.ischer, Pierce, Refsnes, Inc., John Hickey and Mary Dupske Respondent(s) NOTICE OF ARBITRATION AWARD 90-01103 CASE SUMMARY Claimant(s) Steven R. Hook alleged that Respondent(s) Rauscher, Pierce, Refsnes, Inc., John Hickey and Mary Dupske failed to properly execute an order. Respondent(s) maintain that Claimant

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John Barrientez Claimant va. Barrett Day Securities Respondents OATH AND AKARD OF ARBITRATOR 90-00990 AU6U1990 Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: - I am not an employer of, employed by or related by blood or marriage

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Julie Simmons Claimant(s) vs. 90-00941 Ray Blitstein Respondent(a) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Julie Simmons alleged that Respondent(s) Ray Blitstein made misrepresentations with regard to stock transactions. Respondent(s) maintain that Claimant understood the risks of investing in speculative securities. RELIEF RE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Deleo, (Claimant) vs. Josephthal & Co., Inc., Gus Schmidt, and Ralph Esposito, (Respondents) Case Number: 99-03492 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, David Deleo, hereinafter referred to as "Claimant": Edward N. Lerner, Esq., Law Offices of Edward N. Lerner, Stamford, CT. Respondents, Josephthal & Co., Inc. ("JosephthaT), Gus Schmidt

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between John R. Bok Claimant(s) vs. 90-00934 Marlow R. Walker and Samuel Swartzman Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) John R. Bok alleged that Respondent(s) Marlow R. Walker and Samuel Swartzman engaged in fraudulent activity with regard to his account. Respondent Swartzman did not answer. Respondent Walker denied d