Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Azzarelli Enterprises, Ltd. Peter J. Azzarelli, General Partner Case No. 99-03199 Name of Respondent Morgan Stanley Dean Witter f/k/a Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES For Claimants Azzarelli Enterprises, Ltd. ("Azzarelli Enterprises") and Peter J. Azzarelli, General Partner ("Azzarelli"), hereinafter collectively referred to as "Claima

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alicia Morris Case# vs. 92-01593 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Seth E. Lipner, Esq. of Deutsch & Lipner For Respondent: Gerald Kowlaski, Esq., Prudential Securities Inc. CASE INFORMATION Statement of Claim filed: May 7, 1992 Claimant's Submission Agreement signed on: May 5

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Irving & Mildred Fenichel Janet Lee Lazarus Claimants vs. Prudential Securities, Inc. Geoffrey M. Roberts Respondents CASE #92-01592 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8,1992, Claimants Irving & Mildred Fenichel & Janet Lazarus, who appeared Pro Se, alleged that Respondents Pr

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01591 AWARD In the Matter of the Arbitration Between V. Arthur Russo Claimant vs. Waterhouse Securities, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1992, Claimant V. Arthur Russo by and through his counsel George W. Lipp, Jr., Esq., Sole Practitioner, Venice, Florida, alleged that on November 29,

NASD REGULATION, INC. AWARD NASD REGULATION, INC. - OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Ilene and Steven Schwartz 92-01588 Name of Respondents CoreStates Securities Corporation Kevin Kelly REPRESENTATION For Claimants Ilene and Steven Schwartz ("Claimants"): Steven Schwartz For Respondents CoreStates Securities Corporation ("CoreStates") and Kevin J. Kelly ("Kelly"): Elizabeth Hoop Fay,

N.A.S.D. AWARD NATIONAL ASSOCIATION* OF SECURITIES DEALERS In the Matter of the Arbitration Between Namg, of Claimant^ i Peter and Gail Maliszewski 92-01586 Name of Respondent^) Offerman & Company Terry M. Laymon REPRESENTATION For Claimants Peter and Gail Maliszeaski: Anthony V. Trogan. Esq. of Weisman. Trogan. Young & Schlas. For Respondent Offerman & Company, Inc.: Michael P. Coakley, Esq. of Miller. Canfield. Paddock & Stone.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In tne Matter of the Arbitration Between Name of Claimant Patrick E. Gallagher 92-01584 Name of Respondents Dain Boswortn Incorporated Lynn R. Koeme REPRESENTATION For Claimant at the hearing: Vincent D. Louwagie, Esq. of Fruth & Anthony, Minneapolis. Minnesota. For Respondents at the hearing: Renee L. Toenges, Esq. of Dorsey & Whitney, Minneapolis. Minnesota. CASE INFORMA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) George Grissora Carmen Grissom NASD Arbitration No.92-01581 Name of fiqspondentfs) Douglas C. Skaife Donald A. Jacobus Skaife Investment Management Services, Inc. For Claimants: Reed N. Bement, Esq., San Francisco, California For Respondents: Andrew H. Wilson, Esq., and Edward S. Zusman, Esq., Wilson, Ryan & Camp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants James and Michele DeBaker Ray and Donna Mroczynski and Ken and Carol Neuser and 92-01579 Name of Respondents American Capital Financial Services and Pravin Shah REPRESENTATION OF PARTIES Claimants James and Michele DeBaker, Ray and Donna Mroczynski and Ken and Carol Neuser (collectively as "Claimants") were repre

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimants Anita K. & Christina M. McNaUy, JTWROS 92-01574 Name of Respondents Joseph W. MacMichael, Jr. Haddon Financial Group, Inc. REPRESENTATION For Claimants Anita K. and Christina M. McNally ("Claimants"): Peter J. Mooney, Esq. of the law firm of White und Williams. For Respondents Haddon Financial Group and Joseph W. MacMichaei