N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sandra M. Misjak No. 91-00779 Name of Respondents Gruntal & Company, Inc: """" David Geschke REPRESENTATION OF PARTIES For Claimants: Lane Gensberg, Esq. and Carlo E. Poli r Esq. of Stone r McGuire & Benjamin. For Respondents: Hiram D. Gordon, Esq. of Janvey, Berglas & Gordon. CASE INFORMATION St

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara Niechwadowicz Names of Respondents Prudential Securities, Inc. and Gene S. Simonsen Case No. 01-00749 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Barbara Niechwadowicz ("Niechwadowicz"), hereinafter referred to as "Claimant": Scott J. Link, Esq., Ackerman, Link & Sartory, P.A., West Palm Beach, Florida.

N.A.S.D. AWARD NOTIONAL ASSOCIKTICN OF SECURITIES CEALERS In the Matter of the Arbitration Between Mary Poshadlo 91-00777 First Investors Corporation Morris I. Lester For Claimant: Kalis, Esq. of Poplar & Kalis, P.C. For Respondent: Glenn Reichardt of Kixkpatrick & Lockhart. Claimant filed a Statenent of Clai" on March 7, 1991 and executed a submission agreement on March 7, 1991. Respondents filed a joint statanent of Answer on May 9, 19

H.A.S.D. AWARD NATIONAL ASSOCIATION OF SMLlJHI'i'lES In the Matter of tbe Arbitration B« of Olidy Van Mocker 91-00771 PUBLIC Brotbers* dainant Jtony Van Nbcfcer ("Claimant") was represented by Robert A Aram, Esq. of Nemee and Anderson. Saretaky, P.C. Sbaazsca Letam Brothara, me, and Micbael Maley (• by Miter J. PiflrczatCMBki, Beq. of Hartz, Statanent of Claim filed on: Muxu 7 f 1991. dainsnt's Submission Agreement signed

Arbitration - @ N.A.S.D. AMKRD NKTICKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Trans National Group Services, Inc. Steven vs. of PainSWetber, IDC. Bruce Baiter National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 868-4389 Case # 91-00770 For Claimant, Trans National Group Services ("TOGS") , Will

N.A.S.D. AWARD ASSOCTATICN OP SECURITIES DEALERS In the Ifatter of t-he arM t"rari_en Between dark K. Sanpson vs NASD #91-00769 Shearson Ta>wnar| Hutton, Inc. Burfaam Smith Jack G. Grr, Esq. - Harris Qrr & Wakayama for Claimant Ttoras C. Saad, Esq. - Miller, Hash, Wiener, Eager & Respondent, Shearson T^>Vwn»n Button, Inc. David A. Tbonpson, Esq. - Moore & TVnftfinn for Respondent Second Amended Statement of fi»-hn filed: March 26, 1992 C

N.A.S.D. AWARD ASSOCIATION OF SBCDRITIES DEALERS la the Matter of the Arbitration Between Name **f fn»< ^ant(s) 91-00768 (fl) , Inc. Fidelity luucBlmeutB For dainent: Stephen M. Venice, Esq., Kbapp & Vemoa, 525 Oolversity Avenue, Suite 702, Palo Alto, CA 94301 For TTf¥i|Trrtenri Btuoe W. «»I< MTIJJ Baq., Gcabam 6 Jtanes P Cbe Maritima Plaza, Third Floor, Saa Francisco, CA 94111 Statanent of n«< » filed: Jtorch 11, 1991 dadaa

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Susan E. Sordon Claimant vs. D. Kevin Burggraaf Prudential Securities, Inc. Respondents CASE f91-00763 CASE SUMMARY Susan E. Sordon, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1991, alleged that Respondent and former broker, D. Kevin Burggraaf, while employed in the Pasadena, CA office of Prud

N.A.S.D, OP SBCQR1TIES In the tetter of the Arbitration Between Of Nancy Lee Natidns 91-00761 ,. ~ Dean Witter Reynolds, Inc., , and John T. Gammy, Jr. Claimant Nancy Lee Watkins was rcproofintod by W. Brooke Hawfclos, Esq., Qiattanooga, Teonc , Dean Witter Reynolds, Inc. and John T. Garmany, Jr. by George D. Sullivan, Esq. of Dean Witter Reynolds, Inc., Hew r Mew York. CASE Tte Stataaent of HftlTn was filed with the NASD

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert J. & Betty Thiele Claimant CASE #91-00758 Dean Witter Reynolds, Inc. vs. * AWARD Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 11, 1991, Claimant Robert J. & Betty ™« le who appeared Pro Se r alleged that Respondent Dean Witter Reynolds, Inc. misled them into the purcha