N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant S.B. Cantor & Co., Inc. 94-00489 Name of Respondent Dean Witter Reynolds Inc. For Claimant: Leon B. Lipkin, Esq. New York, New York. For Respondent: Anna Marie McAvoy, Esq. of Dean Witter Reynolds, Inc., New York, New York. CASE INFORMATION Statement of Claim filed: February 8, 1994. Claimant's Submission Agreement sign

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alexander Salerno 94-00481 Name of Respondents Aetna Life Insurance Company REPRESENTATION For Claimant, Alexander Salerno ("Claimant"), appeared Jeffrey Bernbach, Esq. located in New York, NY. For Respondent, Aetna Life Insurance Co. ("Respondent 11 ), appeared Amy J. Beech, Esq., from Epstein Becker & Green, P.C.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward H. Inge Emily H. Inge 94-00474 NameofResDQndent Shearson Lehman Brothers, Inc. n/k/a Smith Barney, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 8, 1994, Claimants Edward H. and Emily H. Inge, who appeared Pro Se, alleged that Respondent Smith Barney, Inc. f

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. White 94-00470 Name of Respondents Alex. Brown & Sons Incorporated Jonathan Price REPRESENTATION For Claimant James J. White, ("White"): Jan Douglas Atlas, Esq. and Douglas Paul Solomon, Esq. of Atlas, Pearlman, Trap & Borkson, P.A., Ft. Lauderdale, FL. For Respondents Alex. Brown & Sons Inc. ("Alex Brown") and Jon

Arbitration No. 94-00455 AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant(g) Harry Jameson Name of Respondent(s} Thomas James Associates, Inc. Barbara S. Miller Michelle K. Reichert Dave Kleber Michael G. Gomez James Villa REPRESENTATION For Claimant: Gene G. Harter, Esq., Los Angeles, California For Respondents: Peter H. Abdella, Esq., Harter, Secrest & Emery, Rochester, New York

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between CHARLES W. CHEVALLEY and LEILA M. CHEVALLEY, Claimants, v. NASD No. 94-114 GLENFED BROKERAGE SERVICES, W. TRENT GIEHLER and GLENDALE FEDERAL BANK, Respondents. Representation For Claimant: Jeffrey D. Classon, Esq., of Christensen, Bacigalupi & Barrus, Fresno, California For Respondents: Joel Dwork, Esq., of Howard Everakes & Associates, Glendale

AWARD NASD REGULATION. TNC!.. QPPTCH OF DISPUTE RESQ1 JJTTQN In the matter of the Arbitration Between NBt Estate of Terry M. Heller, Judith Heller, Executrix, (#94-00512) C Paul Morrow, (#94-00513) Conley Lacey. (#94-00516) Jon Cantalini, (#94-005 17) CONSOLIDATED v. CASES Reich & Co.. Inc. Gerard Mangiardi RRFRBSENTATICffl For Claimants: Jonathan T. Zackey, Esq., Bcllevue, Washington For Respondent Reich & Co.. Inc.: Eric Sh

AWARD NASD REQtTLATtnN. INC.. OFFICE OF PTSPTITE RESOLUTION In the matter of the Arbitration Between Nfltflp of PlnJinfltltfiri Estate of Terry M. Heller, Judith Heller, Executrix. (#94-00512) C Paul Morrow, (#94-00513) Conley Lacey. (#94-00516) Jon Cantalini, (#94-00517) CONSOLIDATED v. CASES ofR Reich & Co., Inc. Gerard Mangiardi For Claimants: Jonathan T. Zackey, Esq., Bcllcvue, Washington For Respondent Reich & Co.. Inc.

AWARD NASD REfKJLATTQN. TNE.. QPPTCB Off PTSPUTB RESOLUTION In the matter of the Arbitration Between Estate of Terry M. Heller, Judith Heller, Executrix, (#94-00512) C Paul Morrow, (094-00513) Cooky Lacey, (#94-00516) Jon Cantalini, (#94-005 17) CONSOLIDATED v. CASES Reich & Co., Inc. Gerard Mangiardi For Claimants: Jonathan T.Zackey, Esq., Bcllevue, Washington For Respondent Reich & Co.. Inc.: Eric Shames, Esq., Fahnestock & Co., Ne

AWARD N ASP RBfflTLATfQN 1 TNr.. OFFICE QP rflSPUTE RESO In the matter of the Arbitration Between Estate of Terry M. Heller, Judith Heller, Executrix, (#94-00512) C Paul Morrow, (#94-00513) CoaleyLacey, (#94-00516) Jon Cantalini, (#94-00517) CONSOLIDATED v. CASES Majjne of Respondent^ al Reich & Co., Inc. Gerard Mwgiaidi For Claimants: Jonathan T. Zackey, Esq., Bellevue, Washington For Respondent Reich & Co.. Inc.: Eric S