PUBLIC \ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Golden C. Boyle, D.V.M. Claimant vs. Shearson Lehman Hutton, Inc. Michael K. Rupp Respondents CASH 492-00183 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, Colden C. Boyle, DVM, who appeared Pro Se, alleged that in June 1989 he opened a Money Marke

PUBLIC NATIONAL ASSOCIATION C? SECURITIES DEALERS, INC. CASE #92-00182 AWARD In the Matter of the Arbitration Between John C. Gray, TTEE Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, John C. Gray who appeared Pro Se, alleged that in June 1989 Respondent Merrill Lynch, Pierce, Fenner & Smith,

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00181 AWARD In the Matter of the Arbitration Between Harris Lowenhaupt Claimant vs. Shearson Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1992, Claimant, Harris Lowenhaupt, who appeared Pro Se, alleged that Respondent, Shearson Lehman Brothers, Inc. breached its fiduciary duty

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS " In the Matter of the Arbitration Between Name of Claimant John Slipek 92-00179 Name of Respondents American Bond Group, Inc. Joseph Minieri REPRESENTATION For Claimant John Slipek ("Claimant") was represented by: Patrick T. Collins, Esq. of the law firm of Franzblau, Dratch & Friedman, Roseland, NJ. For Respondent Joseph Minieri ("Minieri") was represented by: Edward R. Curt

N.A.S.D. AWARD NATIONAL ASSOCIATION, OF SECURITIES DEALERS. INC. _ In the matter of the Arbitration Between Name of Claimant (s) James F. Surge and James F. Burge as Beneficiary of the Center Glass Company Defined Benefit Pension Trust and Money Purchase Pension Plan NASD Arbitration No. 92-00177 Iame of Resondent: ^3) Dean Witter Reynolds Inc. Clark A. Bruce Roland Bruce REPRESENTATION For Claimant: Philip M. Aidikoff, Esq.

S.A.S.2. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Howard A. McKinnon No. 92-00176 Name of Respondents PaineWebber, Inc. Paul Laszlo REPRESENTATION For Claimant: Ralph J. Sirlin, Esq., Bloomfield, MI. For Respondents: Edward G. Werner, Esq. Assistant vice President and Litigation Counsel of PaineWebber, Inc., Weehawken, NJ. CASE IHFORMATION Statement of Claim filed

N.A.S.D. AWARD NKTECHM. AssocxarxcN OF .summit DEALERS In tba Matter of the Arbitration Between of Ervin Frank Name | of Raspccdflat Dean Witter Reynolds, Inc. David Clifford NftSD Arbitration Nb.92-00175 For Claimant: Mitchell S. Qstmld, Esq., ., Seanan & Ostwald, Sacramento, For Respondents: David W. Studley, Esq., Den Witter Reynolds, Inc., San Francisco, **-*•••"— J - Statanent of HaHtn fUed: January 17, 1992

N.A.S.D. AWARD Arbitration _C5 National Aaaociatlon of NftTICNAL ASSOdATICN OF SWJUKIT1KS DEALERS StcurHiM 0*a4*r», Inc. One East Broward Boulevard Suita 1000 in the Matter of the Arbitration Between&sfs££n Name of Claimant (s) Richard L. Jorandby 92-00168 Name of Respondent(a) Shearson Lehman Button, Inc. Glen Trematore For Claimant, Richard L. Jorandby, Alexander Del Ruaao, Esq. of Levy, Kneen, Boyes, Wiener et al. For Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Narne o Suzanne Rossini NASD Arbitration No.92-00166 Name of Respondent's) Shearson Lehman Brothers James Gordon For Claimant: Michael F. Brown, Esq., Schall, Boudreau & Gore, San Diego, California For Respondent: Michael C. Licosati, Esq., Keesai, Young & Logan, Long Beach, California CASE INFORMATION Statement of Claim filed

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Margaret M. Johnson (Individually and as Co-Trustee for the Margaret M. Johnson Revocable Living Trust) and Pamela M. Davis, Co-Trustee for the Margaret M. Johnson Revocable Living Trust v. Morgan Stanley Dean Witter, Inc., Lois Budman and Mary Lou Labe Case Number: 99-3035 Hearing Site: Southfieid, Michigan REPRESENTATION OF PARTIES Claimants, Margaret M. Johnson (Ind