Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nirmal V. Mulye, (Claimant) vs. Prudential Securities Incorporated and Craig S. Forster, (Respondents) Case Number: 99-03448 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Nirmal V. Mulye, hereinafter referred to as "Claimant": CarltonR. Asher, Esq., Law Offices of Carlton R. Asher, New York, NY. Respondents, Prudential Securities Incorporated ("Prude

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIJERS In the Matter of the Arbitrations Between Name of Claimant Janney Montgomery Scott Inc. 90-00514 Neil F. Bryers Mams Neil F. Bryers 90-0159* {fame of Respondent Janney Montgomery Scott, Inc. For Janney Montgomery Scott, Inc. : Elizabeth Hoop Fay, Esq. of Morgan, Lewis & Bockius. For Neil F. Bryers: Joseph R. Lally, Esq. 90-00514: Statement of Claim filed: February 16,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ) Mary Jane Equall, ) Individually and as Trustee ) Under the will of ) Lome H. Colpe, Deceased ) Claimant ) ) AWARD vs. ) ) NASD #90-01580 Sutro & Company, Inc. ) Merton Norlander ) Gregory Norlander ) Troy Norlander ) Respondents ) ) SUMMARY OF ISSUES Claimant alleged Respondents breached their fiduciary duty to h

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ( ;' Edward H. Fyson, M.D. ) Claimant ) } AWARD vs. ) ) NASD #90-01577 Sutro & Co., Inc. and ) Troy Norlander ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 4, 1990. Claimant alleged that Respondents breached their fiduciary duty by recommending unsuitabl

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of "he Arcitration Between John P. Joiey Claimant AWARD vs . :IASD =90-01563 PaineWebber, Inc., Russell Torici Koenier ; ResDoncients REPRESENTATION Claimant was represented by Richard B. Leavmt, Zsq. of the Law Offices of Richard B. Leavitt. Respondents were represented by Romaine L. Gardner, Esq. of PaineWebber, Inc. • SUMMARY OF ISSUES This case was fil

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lance w. Horn 90-01551 Name of Raauondents Shearson Lehman Hutton, Inc. Stuart D. Schoenfeld Lance W. Ron was represented by Sergiu L. Herscovici, Esq. of Baily and ~ Makaroff, Lakewood, Colorado. Shearson Lehman Hutton, Inc. and Stuart 0. Schoenfeld were represented by John S. Lutz, Esq. and Robert J. Ebor, Esq. of Kelly, Stansfield & O'Do

Notice of Arbitration Award Case No. 90-01504 Page 2 The $100.00 filing fee previously deposited with the NASD, Inc. by the Claimant(s) shall be retained by the NASD as costs of this proceeding. August 29, 1990

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald A. Steinauer Claimant vs, Shearson Lehman Button, inc. and Dan Kay Davis Respondents OATH AND AWARD OP ARBITRATOR 90-01492 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: ** 1 I am not an employer of, employed by or

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Larry G. Thornton ) Herminia V. Thornton, JTWROS ) Claimants ) ) AWARD vs. ) ) NASD #90-01486 Shearson Lehman Hutton, Inc. ) Robert F. Cummings ) A. Joe Denhart ) Respondents ) REPRESENTATION Claimants were represented by John M. Keefe, Esq. , of Bellevue, Washington. Respondents were represented by Thomas C. Sand, Esq., and

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Pauline M. and A. Deane Moon Claimant(s) vs. 90-01443 Michael G. Keselica and First Montauk Securities Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Pauline M. and A. Deane Moon alleged that Resppndent(s) Michael G. Keselica and First Montauk Securities made unsuitable recommendations and misrepresentations. Respondent (s)