Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Yow, Helen C. Yow, and The Fred Yow & Helen C. Yow Revocable Trust dtd November 28,1995, Claimants v. Morgan Stanley DW Inc. and Robert E. Burpee, Jr., Respondents Case Number: 06-00956 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Eugene Schneider, Esq. Law Offices of Eu

EUA.S.D. REVISED AWAljp NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimant (s1 Robert Maltz, Individually and as Trustee for Abel Industries Profit Sharing and Pension Trust Fund and Judith Maltz Case No. 92-01962 Notes Any reference hereinafter to the Claimants .or any of them will be to Maltz unless otherwise specified in any of the discussions, Name of. Respondent(&) Shearson Lehman B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Corinne Enunendorfer, as Trustee, U/W Ralph E. Emmendorfer, Deed.; Corinne Emmendorfer, as Trustee, FBO Corinne Emmendorfer, Trust dated September 14, 1990; Corinne Emmendorfer; Gary M. Fluchel; Chris D. Fluchel; and Jon B. Huchel 92-01935 Name of Respondents PaineWebber Incorporated; JW Charles Securities, Inc,; Clayt

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Joseph S. Newman Shearson Lehman Brothers Inc. 92-01861 Name of Respondent Gibraltar Securities Co. REPRESENTATION For claimants Joseph S. Newman ("Newman") and Shearson Lehman Brothers Inc. ("Shearson") appeared Anthony Paduano, Esq. of the law firm of Smith Campbell & Paduano, located in New York, New York. For respondent Gibraltar Securities' Co. ("Gibr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) James E. King and Phyllis A. King 92-01849 Name of Respondents) Prudential Securities Inc Joseph Roediger Joel Srodes REPRESENTATION For Claimants, James E. King and Phyllis A. King ("Kings"): Richard W. Groner, Esq. of Snyder, Groner, Schieb & Clayton in Sarasota, FL. For Respondents, Prudential Securities, Inc. ("P

SUPPLEMENTAL N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Gasselein 92-01757 Name of Respondent American Pacific Securities Corp. Andover Securities, Inc. The Estate of Sidney P. Griffin, Sr. Griffin Financial Services REPRESENTATION For Claimant, Patricia Gasselein ("Gasselein"): Philip J. Snyderburn, Esq. of Snyderburn, Rishoi and Swann, Winter Park, Fl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc. Name of Respondent Brian Anthony Kirk 92-01699 In the Matter of the Arbitration Between (consolidated with 93-03095) Name of Claimant Brian Anthony Kirk Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc.; Irving Silver; and Randall Gibbs REPRESENTATION

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Joe DiRusso & Rosa DiRusso 92-01598 Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1992, Claimants Joe & Rosa DiRusso, through their counsel Dennis J. Harris, Esq., Dearborn Heights, MI, alleged that Respondent Dean Witter Reynolds, Inc., thr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Sylvia Shapiro 92-01597 Name of Respondent(s) Prudential Securities Inc David H. Sagerman REPRESENTATION For Claimant Sylvia Shapiro, individually and as Personal Representative for the Estate of Sol Gellman ("Shapiro"): Robert Ross, Esq. of the law offices of Robert C. Ross, Jupiter, Florida. For Respondent, Prudential

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph H. Lock 92-01595 Name of Respondents Shearson Lehman Brothers. Inc. lames Toto For Claimant Joseph H. Lock ("Claimant"): Walter D'Ull, Esq., a sole practitioner. For Respondents Shearson Lehman Brothers, Inc. ("Shearson") and James Toto ("Toto"): Robert S. Moraff, Esq. of Schwartz Tobia et al. CASE INFORMATION