N.A.S.D. AWARD ASSOOanCN OF attAJkiTUai DEALERS In the Matter of the Arbitration Between ) ) Name of rn^^t (a) ) ) Annabel H. Newell ) ) Case No. 90-03302 ) HP™* of B^ff*ndent (s) ) ) Merrill Lynch Pieces Fenner & Sfflith Inc.) Smith Barney Hurls Dphan & Cb., Inc. ) Drexal *«•**>»«» TJI^I^I i , inc. ) Kidder, Peabody & Co., Incorporated ) Alan I. Schreiber ) Michael Novak ) David Place ) Tor Claimant, Amabel B. Ne

N.A.S.D. AWMZD AS90CBCTICN OP SECDHIT1BS In the Matter of the Arbitration Between Cf£ fT ^ Soxaert Products, lac. 90-03301 Piper, Jeffray & Hopwood, Inc. John P. Hula Kin For Claimant BaigeiL Products, Inc.: Jean M. Didier, Saq. of Ttoreen, JtotbaNB & IQaasp, St. fTloHri, M1mv«n< -n. For Reepmrfriats Pipar Jeffray & HopMood. Inc. and John Qulss THIrhtinl Lindsay, Esq. of Doarsey & Whitney, P.C. Minneapolis, Minnesota. For Resp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Madra Clapp Case vs. #90-02936 Name of Respondent John Weldon REPRESENTATION Claimant, Madra Clapp ("Claimant") represented herself. For Respondent, John Weldon ("Respondent"), Andrew Goodman, Esq., from the law firm of Rosner Goodman & Sullivan, located in New York, New York. CASE INFORMATION Statement of Claim fil

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clalmantl&L Caesar J. Wollheiin, Jr. National Association of Securities Dealer*, inc. One East Broward Boulevard Suite 1000 Ft. Uuderdale, Rorida 33301 (305) 522-7391 CASE f90-02014 Dean Witter Reynolds, Inc. Heard before the arbitrator: George Felos, Esq. Public Claijnant, Caesar J. Wollheim, Jr. ("W

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ellen Jo Ramsdale, Claimant v. Royal Alliance Associates, Inc., Telesis Financial & Insurance Services, Inc., and Michael L. Fenison, Respondents Case Number: 99-04003 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Robert Scott Dreher, Esq. Jeffrey & Dreher, L.L.P. San Diego, California For Respondents: Louis H. Castoria, Esq.

PUBLIC N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Angelo & Judith Costa INVEST Financial Corp. Tnea Broadus Arbitration National Association of Securities Dealers, inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-01873 For Claimant: Harvey R. Peters, Esq. of Peters, Smith & Jfoscardelli. For Respondent: Eugene B. Harp

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John S. Mooshie and Jere A. Hughes Case No. 90-01871 Name of Respondents Smith Barney Harris Upham & Co., Inc. and Howard Eisenman REPRESENTATION For Claimants, John Mooshie ("Mooshie") and Jere Hughes ("Hughes"): Robert Dyer, Esq. of Allen, Dyer, Doppelt, Franjola & Milbrath, P. A. of Orlando, Florida. For Respondent,

N.A.S.D. AWARD ASSOdKTICN OF MHilui'iTBH DEAI£RS In the Matter of the Arbitration. Between Ronald vs. 91-01604 Name of Respondent (s) Stuart-James Company Incorporated William Calvert For Claimant: Mitchal C. Greed, Esq. For Pft f^" • iH«g»t; Williani Calvect **""** "'jl.'Aii Mtatin M. B****** ^TMIT, Esc[. Stateoent of Halm fned: May 23, 1591 dadmaat's Submission Agreement signed oa: April 26, 1391 Respondent William Gal-vert Kan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James J. Mainello c/f Timothy James Mainello Claimant(s) vs. 90-00783 Prescott, Ball & Turben, Inc. and Ted Karle Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) James J. Mainello c/f Timothy James Mainello alleged that Respondent(a) Prescott, Ball & Turban, Inc. and Ted Karle made an unsuitable investment and misreprese

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Deutsche Bank Securities, Inc. vs. Case Number: 06-02386 Hearing Site: Dallas, Texas Names of Respondents The Stanford Financial Group, Michael Trent Miller, Stephen D. Robinson, Elizabeth Ann Erickson, Lori Sensing, Eddie Rollins, and Jason D'Amato and Names, of Counter-Claimants Michael Trent Miller and Stephen D. Robinson