N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claimant; s) ) ) Richard J. and Carolyn Ann Scioscia ) ) Case No. 90-01380 Nams of Respondent^ si ) ) Merrill Lynch Pierce Fenner & Smith Inc ) Henry Tritsch ) Heard before the members of the Arbitration Panel: Robert Herschtnann p Esq. Public Anthony S. Paetro, Esq. Industry Harry Polansky Public Claiman

AEASO N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Wilbur & Miriam Reinfeld vs. Name of Respondents Conceptual Financial Advisory J. Don Braden Milton Parsons Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Case # 90-01376 For Claimant: Peter J. Anderson, Esq. of Peterso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant!si Don Schiff 90-01374 Name of Respondent f s Shearson Lehman Hutton, Inc. Mark Steffan Heard before: r / dnatjr George Weiner Public Ruth Lavell Public Bonnie Moore Industry Claimant's counsel was David H. Tedder, Esq. of Pratter, Tedder and Graves. Respondents 1 counsel was John R. Loftus of Keesal, Yo

N.A.S.D. AWARD NAUCNAL ASSQdATICN OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Name of Claimant (s) George H. Gage George Gage Individual Retirement Account Cigna Securities, Tnr.. Dennis G. E. Mercedes, Stearns & Associates Cigna ^dividual Financial Serv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Rolf A. Gille and lone Gille Living Trust, Rolf Gille R-IRA and lone Gille R-IRA, Claimants v. First Security Van Kasper & Co., Anders A. de lounge and Arendt C. de lounge, Respondents. Case Number: 01-00663 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimants: Joseph C. Barton, Esq. 2833 Laguna Street San Francisco, CA 94123 For Respondents: Gordon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of riaiTnantVa] ) ) ) Stephen A. & Pamela A. Avera Name of Smith Barney Harris Ujphan & Co., Inc. Heard before the Arbitrator: Patricia A. Snub, Esq. ) Case Nb. 90-01362 Public Claimants, Stephen and Pamela Avera ("Avera's"), were represented by Michael Kelley, Esq. of the Law Offices of Michael F. Kelley, Esq. Resp

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mary Ellen Rogulski Claimant(s) vs. 90-01361 Gruntal & Co. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Mary Ellen Rogulski alleged that Respondent(s) Gruntal & Co. has failed to change the name of the custodian on mutual funds and limited partnership investments after repeated requests. Respondent denied the allegations

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Gerald Bitman Claimant(s) vs. 90-01353 Bear, Stearns & Co., Inc. and Stuart, Coleman & Co., Inc. Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Gerald Bitman alleged that Respondent(s) Bear, Stearns & Co., Inc. and Stuart, Coleman & Co., Inc. charged excessive commissions. Respondent Stuart, Coleman & Co., Inc. answered tha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Gene and Shirley Morris, Claimants, v. No. 90-01351 Michael Wynn, and Blunt Ellis & Loewi, Inc., Respondents. REPRESENTATION OF PARTIES Claimants, Gene and Shirley Morris ("Claimants") were represented by E. Terry Sibbernsen, Esq., Omaha, Nebraska. Respondents Michael Wynn and Blunt Ellis & Loewi, Inc.("Respondents") were represented by Thomas P. Ward, Esq., of McBride, Baker & Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ttie Matter of the Arbitration Between Maine of Claimants RoseAnn. Laura and Lisa Sperandio 90-01347 Name of Respondents First Affiliated Securities Jonathan Alan & Co.. Inc. Elizabeth Schoultz Beklior Securities Mitchel Feinglas REPRESENTATION For Claimants: RoseAnn Sperandio. For Respondent, Elizabeth Schoultz: Elizabeth Schoultz For Respondents. Jonathan Alan £ C