N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS, INC. In the >fetter of the Arbitration Betvreen Mama of Claimants s) Use Curto 90-03053 Mane of Itofl|Xi|d6nfc(gl Otra Clearing, Inc. Financial Clearing & Services Corp. Christopher Roberts Robert Hasho Heard before: Richard W. Vallario, Esq. Public Arbitrator Paul M. Rosenthai Industry Arbitrator Ira S. Newman, Esq. Public Arbitrator Claimant r Use Curto, ("C

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-03049 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Gene Marrotte Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 30, 1990, claimant, Dean Witter Reynolds, Inc., by and through its attorney Dominick J. Dorata, Esq., New York, NY, alleged that Respondent Gene Marrotte deposite

03-15-1993 03'19PM FROM NRSD Arbitration/Chicago TO 15049284925 P.05/07 N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimant John D. Mineo 90-03047 Name of Respondents A.G. Edwards & Sons, Inc. Robert Welch RgPRESENTATIOt? For Claimant:: William Gamble, Esq. and Ben Schupp, Esq. of Killing, Benson, Woodward, Hillyer, New Orleans, Louisiana. For Respondents: Rose M. Schin

Arbitration NATIONAL ASSOCIATICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Claimants William Taylor & Marian Clark JTWRDS vs Name of Financial Estate Planning Southmark/Envicon Capital Corp. Philip Roy, Sr. Herbert Patrick Pollitt National Association of Sacurttiet Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 90-03045 Heard before the arbitrators of the

NASD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Paul DeFalco c/f Sarah DeFalco Name of Respondent fs 1 ! Hibbard Brown & Co., Inc. Glen W. Dautrick Richard laus Daniel Kaye 90-03043 National Association of SocurttlM Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Claimant, Paul DeFalco c/f Sarah Defalco UGMA. CT appear

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case TShimher 01-00710 Vilma Thomas Name of the Respondents Hearing Site: Philadelphia, Pennsylvania Bear Stearns Securities, Corp, Kennister Daley, Claudette Burgess-Gay, and Joseph Visconti RFPPFSFNTATTON OF PARTTRS Claimant Vilma Thomas, hereinafter referred to as "Claimant" was represented at the hearing by Orville McKenzie, Esq., McKenzie & Asso

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Sanford Mechanical Equipment Co., Inc. Claimant vs. F.N. Wolf & Co. Paul Boyd Respondents CASE 190-03042 AWARD CASE SUMMARY William H, Sanford, Trustee of the Sanford Mechanical Equipment Company Profit Sharing, in a claim filed with the National Association of Securities Dealers/ Inc. on October 30, 1990, alleged that Respondent Paul Boyd a

N.A.S.D- AWARD NATICNAL ASS6CIATICN OF SfcXJUKlTJLHS DEALERS la the Matter of the Arbitration Between (3) Ted Bittner 90-03036 Mama of ResmndpQt (a) The Stuart* James Coopaxxy Incorporated Michael Reed Green Fbr daimnt: TeA Bittner was represented by D. Craig Olivier, Esq. of Olivier & Steidley, Houston, Texas. Fbr Pa< ^pryyton*'a • *&& Stuart- James Company Incorporated was represented by* Oarista D. Taylor, Esq. of Bart & Trinen, Denver

N.A.S.D. AWARD In the Matter of the Arbitration Between Mama of C 1 James F. Utley NaneofRespondents Interstate/Johnson Tane and Greg Singletary i • '• ' '-; '• i j j, jmr•. — - UJ JAN 151982 90-03035 For Claimant: Pro se. For Respondents: Barry P. Harris, IV, Esq. of Interstate/Johnson Lane, Charlotte, North Carolina. case Statemsnt of Claim filed; on or about October 29, 1990. Claimant's Submission A

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Samuel Burtoff, as Trustee of the Samuel Burtoff M.D., PC Pension Trust Claimant vs. Dominick & Dominick, Incorporated Respondent CASE* 90-03033 AWARD For Claimant: For Respondent: REPRESENTATION Robert F. Condon, Esq. of the law firm of McCarthy & Burke. William J. Bethune, Esq. of the law firm of Ross, Marsh, Foster, Myers & Quiggl