N.A.S.D. AWARD NKTICNMi ASSQC1ATICN OF SECURITIES DEALERS In the Hitter of the Arbitration Between. " Q£ m Norbetrt & Tiltiria Pann vs. NASD #91-01275 Dean Witter Reynolds, Inc. Fccr daimntss Rcbert C. Ftacchia, Esq., Dobbins, Weir, Ttorpscn & Stepbenson, Vacavllle, California. FOOT SfifipeodBntt Wcody R. Jtabdnaon, Esq., Dean Witter Raynolds,. me., San FraDcisoo r Statement of Claim filed: April 23, 1591 a*—*— 4—* ijr"^-^ signad out

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between vTatfTM of Claimant Arnold L. Rosen Mams of Respondent (s) Shearscn Tirihmn Huttcn f Inc. Alan Yarfcin 91-01264 Arbitration National Association of SecurttfM Daaltri, Inc. One East Broward Boulevard Suite 1000 Ft Lauderdato. Florida 33301 (305) 522-7391 For Claimant, Arnold Rosen ("Rosen") : Michael R. Casey, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant William L. Lancaster, Jr. - Curneil Dunning David A. Jones Jeffrey B. Postell, Sr. _-, ^ Bobby C. Jones Joe Gipson and 91-01254 Name of Respondents Harris Securities, Inc. Harold P. Robb REPRESENTATION OF PARTIES Claimants William L. Lancaster, Jr., Curneil Dunning, David A. Jones, Jeffrey B. Posteil, Sr.,

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01250 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Ernie S. and Leora C. Perea Respondents CASE SUMMARY In a claim filed with the ^National Association of Securities Dealers, Inc. on April 22, 1991, Claimant, Dean Witter Reynolds, Inc. by and through their outside counsel, Dominick J. Dorata, Esq. , Sole Practitioner, New Yo

Stipulated Award NASD In the Matter ot the Arbitration between: Name of the Claimant Case Number: 01-01820 Raymond James & Associates, Inc. Name of the Respondent Hearing Site: Boca Raton, Florida Robert Colson REPRESENTATION OF PARTIES For Raymond James & Associates, Inc. ("Raymond James"), hereinafter referred to as "Claimant": Christopher G. Lazarini, Tate, Lazarini & Beall, PLC, Memphis, TN. For Robert Colson ("Colson"), hereinafter referred

Arbitration N.A.S.D. AWARD National Associatkm of Securities Dealers, tnc. NATIONAL ASSOCIATICK OF SHUURlTlfaS DBiLERS NASD Financial Center 33 Whitehall Street in tb. Witter of the Arbitration Betw^i jlantm g£ CTLaiffBfrri^ H» Breen Case* 91-01245 Dean Witter Reynolds Inc. Gruntal & Co., inc. For Claimant Suzanne H. Breen ("Breen"), Andrew S. Sidnan, Esq. of the law fizm of Butler, Fitzgerald & Potter, P.C. For Respondent Dean W

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01242 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Richard Angelini Respondent CASE SUMMARY Dean Witter Reynolds, Inc. by their counsel Dominick J. Dorata, Esq., in a claim filed with the National Association of Securities Dealers, Inc. on April 19, 1991, alleged that Respondent Richard Angelini has failed to satisfy a debit balance in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimantfs^ ) John W. Gidley ) ) of Case No. 91-01236 Smith Barney Harris Upham & Co. , Inc. Bernard Gonsher For Claimant, John W. Gidley ("Gidley"): William P. Doyle, Esq. For Respondents, Stoith Barney Harris Upham & Co., Inc. ("SBHU") and Bernard Gonsher ("Gonsher"): Scott E. Kresch, Esq. of SBHU. Statement of Claim filed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Andrea J. Haller Claimant vs. Has an-Growney, Co. Otra Clearing, Inc. John Whitesides Respondents CASE #91-01234 AWARD CASE SUMMARY Pro Se Claimant, Andrea J. Haller (now Spiller), in a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1991, states that her broker at Hasan-Growney Co., Lynne Cintron, info

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Carla M. Givens vs. Gregory R. Anderson Respondent SUMMARY Claimant CASE #91-01233 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on April 18, 1991, Claimant Carla M. Givens who appeared pro se, alleged that Respondent Gregory R. Anderson of IRI Securities Corp. purchased stock in Acquisitor Mines without her