NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) •\ Patricia Ross VS. Dean Witter Reynolds, Inc. i Claimant/ ) Counter- ) Respondent ) ) Respondent/ ) Counter- ) Claimant ) AWARD CASE NO. 89-02786 SUMMARY OF ISSUES This case was filed on October 10, 1989. Claimant/Counterrespondent Patricia Ross ("ROSS") alleged that Respondent/Counterclaimant Dean Witter Reynolds, In

N.A.S.D. AWARD NATIONAL .ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between f Name of g.IgM™?"*' ) Michael j; Denisco ) AWARD 89-02785 Shearson Lehman Button, Inc. David Hale Claimant, Michael J. Denisco alleged that Respondents gave inside information on and solicited an options position in a stock that was on the firm's restricted list and failed to follow Claimant-.'s instructions in handling the trade.

NATIONAL ASSOCIATION OF SECURITIES DEALERS Tn the Matter of the Arbitration Between Istvan Boksay, M.D. Claimant(s) ARBITRATION vs. AWARD 89-02781 Robyns Capital Corp. and Arnold Levy Respondent(s) NOTICE OF CASE SUMMARY Claimant(s) Istvan Boksay, M.D. alleged that Respondent(s) Robyns Capital Corp. and Arnold Levy misrepresented the return to be received on an investment strategy recommended by Respondents and failed to retu

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Vincent Caraccioio, (Respondent) Case Number: 99-02850 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": David W. Schmidt, Esq., Lubiner & Schmidt, Kenilworth, NJ. Previously represented by: Herbert O. Sontz, Esq., General Counsel, GKN Securities Corp., New York

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01042 Barbara J. Heidmann, Claimant vs. Paul Hoffman and Keith Peters, Respondents. ATTORNEYS: For Claimant, Barbara J. Heidmann, ("Claimant"), appeared Thomas J. Martell, Esq., Bonduel, WI. For Respondents, Paul Hoffman and Keith Peters, (collectively "Respondents"), appeared, Robert E. Nesemann, of Nesemann Law Office, S.C., Appleton, WI, DATE FILED: March 9, 2000 CASE SUMMAR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant B.C. Christopher Securities Co.. Inc. No. 89-02780 Names of Respondents/Counterclaimants Frank and Debra Marsilio Names of Third-Party Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Shearson Lehman Brothers, Inc.. Robert Ruppen, A. G. Edwards & Sons, Inc., Scottsdaie Securities. Inc., and Bruno Stolze &

A/ASO N.A.S.D. KRTICNAL ASSOCDUTICN OF SECORITIES in tha Mattar of tha Arbitration B4twaan Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Henry J. va * 89-02778 sheeraon Lehnen Button, Xnc. Robin J.Ruaao Georgia J. QIIJTTTI Heard before thai members of thai Arbitration Panels J. Levison J. Public This natter was initiated

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) CHARLES R. CALVERT ) ) Claimant ) ana ) ) CASE NO. 89-02773 TRAVELERS EQUITIES SALES, INC. ) Respondent CASE SUMMARY Charles R. Calvert ('Claimant") alleged that Travelers Equities Sales, Inc. ("Respondent"): 1. recommended the purchase of Keystone Blue Ash 3 Limited Partnership ("the investment") which was unsuitable for the Claimant;

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Namp of Stephen B. Keyser, David J. Baron ) and Fergeson, Skipper, Shaw, Keyser, ) Baron and Tirabassi, P. A. Profit ) Case No. 8S-02763 Sharing Plan ) \ Hopper Soliday and Co ., Inc. ) Robert L. Fryer, Jr. ) For Claimants, Stephen B. Keyser("Keyser"), David J. Baron ("Baron") and Fergeson, Skipper, Shaw, Keyser, Baron and Tirabessi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiitantfsi Kurt & Berdel Wise '""" 59-02759 Name of Respondent, f s) Dillon Securities Inc., Thomas Dillon, Conrad Lysiak, Lyle Haas, Kim Haas, and Brian Chaffee In a Statement of Claim filed with the NASD on October 4, I9B97- Claimants Kurt and Berdell Wise alleged that: (1) the Respondents solicited and sold securities to the Cl