NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of C!la i:nant Lousie B. Miville vs. Marna of Respondent^ Prudential Securities Inc Thonas Huzeila Arbitration National Anodadon of SecuritiM Dealer*, Inc. NASD Rnancitl Canter 33 Whitehall Street New York, New York 10004 Case* 91-00278 For Claimant: Thonas J. Schuchert, Esq. of Schuchert Sheerer, P.C.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Ralph J. Newton > Claimant ! AWARD vs. 5 ) NASD *91-00235 Dean Witter Reynolds, Inc. ) Andrew Cooper and ) David Cooper ) Respondents ) REPRESENTATION Claimant appeared in pro per and was represented by his wife, Patricia A. Newton. Respondents were represented by Eric G. Wallis, Esq. of Crosby, Heafy, Roach & May; Oakland, Californi

N.A.S.D. AWARD ASSOCIATION Cf SECURITIES DEALERS in the Matter of the Arbitration Between ) ) Mane of Erwin & Bernice Kaye ) ) Case Ho. 91-00231 Shearson Lehman Hutton, Inc. Robert Haupt Warren Picardi For Claimants, Erwin & Bernice Kaye ("Kaye"): Russell L. Forkey, Esq. of Russell L. Forkey, P.A. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson"), Robert Haupt ("Haupt") and Warren Picardi {"Picardi"): Debra Jenks, Esq. of Bo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beth S. Bessette 91-00213 Name of Respondent Keith Pillich REPRESENTATION For Claimant: Beth Bessette. Pro-se. For Respondent: Keith Pillich. Pro-se and Jeffrey Lazroe, Esq. a sole practitioner. CASE INFORMATION Statement of Claim filed: January 12, 1991. Claimant's Submission Agreement signed on: March 12, 1991. Re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03464 Bruce Kadison, claimant vs. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Richard Ko, respondents. ATTORNEYS: For Claimant appeared Jeff Dennis Ferentz, Esq. of the firm Greenbaum & Ferentz, LLP, Newport Beach, CA. For Respondents appeared in-house counsel Gregory A. Wiessner, Esq., New York, NY. DATE FILED: July 30, 1999 CASE SUMMARY: Claimant alleged that respondent

ASSOCIAIXQNr OP N.A.S.D. AWARD DEAXJ5RS In the Matter of the Arbitration. Between Name of Claimant Arbitration National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-00201 Advest, Inc. Thomas A. Adams For Claimant Rnm Smith ("Claimant") : Joseph F. Scott, of Herbert Benson et al. For Respondent Advest, Inc. ("Advest") : Robert G. Schuler, o

NATIOHAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Aroiiration Between larlton Block Claimant vs. Brennan Ross Securities, inc. Joseph Ross Dirk Tinley AWARD Respondents ) NASD *9 1-00184 REPRKSRMTATION Claimant was representea by Micneii C. Green, £sq., Los Angeles, California. Brennan Ross Securities was represented during the pleadings stage by Donald 0. Vigil; Joseph Ross was represented at hearing

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f Claimant. ' c Terry L. & Cyndie A. Dreyfuss 91-00155 Fidelity Investments 7or Claimant: Daniel J. Eaton, Esq. of 1660 Hotel Circle North, Suite 1514, San Diego, CA. 921C8 For Respondent; Guylyn R. Cunmins, Esq. of Gray, Cary, Ames & Frye, 401 "B" Street, Suite 1700, San Diego, CA 92101-4219 Statement of Claim filed: January 14, 1991 Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Ireene S. Baxnatt Foundation Tarame Condon Education Trust Ireene S. Barnstt Trust NASD #91-00117 Oppenheimar & Company, Inc. For Claimant; Jamas F. MzAteer, Esq., Schwobe, Williamson & Wyatt, Seattle, Washington. For Respondent; Eugene L. Snail, Esq., Oppenneojner & Company, Inc., New YorX, New York. CASK Statement of Claim filed: Janu

N.A.S.D. AWARD NATICNRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" of John Garbin 91-00095 Nansof B««nHriam./«» Batman Eichler,Hill Richards , inc . Frank Orlando For Claimant: Michael L. Paule, Investors Arbitration Services, Inc. For ReetXJHJH»t; David C. Hinshaw, EBq. Gansinger, Hinshaw, Buckley & Schauar Statement of Claim filed: January 8, 1991 Claimant's Submission Agreement signed on: Decanber