NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02618 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Neil D. Kramer Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 22, 1991, Claimant, Dean Witter Reynolds, Inc, by and through their outside counsel Dominick J. Dorata, Esq., Sole Practitioner, New York, NY, alleged that Respon

N.A*S*D. AWARD NATIGNRL ASSOCIATION OF SHOJRITIES DEALERS In the Matter of the Arbitration Between Of Gloria L. Peacock •JnH-f^Hrfin^'l £ 'I'lVlj Gloria L. Peacock trust vs. NBSD #91-02605 or David Ziegler Prudential -Bache Securities, inc. For Claimant: Ojristopher J. Rillo, Egg. For Respondents: William H., Freilich, Esq. Statement of Claim filed: August 22, 1391 daiEoant's Sutmissioa Agreement signed on: July 1, 1991 for Glori

H.A.S.D. ANAKD NA3TCNAL ASSOCIATION OF SBCDRZOTS DEMURS In the Matter of the Aijpitration BetMoon 91-02597 NsmeofHeggdent . ^.. Dean Witter Reynolds, Inc. OP PUOCZBS Claimant was LgprgqniHy* by Diane A. Nygaaxd, Esq., Overland Pazfc, Kansas. Rfispcodent uaa rrprrnrnrnrl by Wendy R. ^dbinsca r Esq. of TVmi Witter Reynolds r Inc., g«« Francisco f Calif otmia* Tl» Statement of Ha-im vas filed on or about August 21, 1391. Jta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant John J. Glennon, Jr. No. 91-02594 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES For Claimant: Jeffrey L. Liddle, Esq., of Liddl"e, O'Connor, Finkelstein & Robinson, New York, New York. For Respondent: Paul Dutka, Esq., of Skadden, Arps, Slate, Meagher & Flom, New York r New York. : CASE INFORMATION' Statement of Claim file

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Patricia B. Perry _- ._.— and -,.^ 91-02591 Names of Respondents Sutro & Co., Inc. and Richard Bellinfante REPRESENTATION OF PARTIES Claimant, Patricia B. Perry was represented by J. Emery Barker, Esq. of Mesch, Clark & Rothchild. P.C. of Tucson, Arizona. Respondent, Sutro & Co., Inc. was represented by Michael J. Mee

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Randle E. Theobald, Dora Theobald, Laura "Jeanne" Blanchard, and Curtis J. Blanchard, Claimants v. BT Alex. Brown, Incorporated, nka DB Alex. Brown LLC, Douglas S. Boszhardt, and James E. Hulburd, Respondents Case Number: 00-04930 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: Julian D. Jensen, Esq. Craig Carman, Esq. Jensen, Duffin, Carman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-02588 AWARD In the Matter of the Arbitration Between Christiane Jackson Claimant vs. Bear, Stearns & Co., Inc. David E. Kurland and Gary Shemano Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1991, Claimant, Christiana Jackson who appeared Pro Se, alleged that Respondent David E. Kurland failed to prope

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Claimant: Theodore S. Tobison No. 91-02586 f Respondents Creative Equity Resources, Inc. Roger A. Sexter REPRESENTATION OF PARTIES For Claimant: Mark Briol, Esq. and Gregory Wilmes, Esq. of Briol and Wilmes. For Respondent , Creative Equity Resources , Inc . : Richard Pogin appeared. For Respondent , Roger A. Sexter : James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edward & Carmella Giangreco Alan A. Giangreco Marilyn Giangreco (Sanders) 91-02582 Name of Respondents Advest. Inc. Casimer (Casey) Jaszewski REPRESENTATION For Claimants: Donald G. McGrath. Esq. of Falk & Siemer. For Respondent, Advest. Inc.: Paul K. Stecker. Esq. of Phillips Lytle Hitchcock Elaine & Huber. Fo

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02581 AWARD In the Matter of the Arbitration Between James H. Gaddis Claimant vs. Andover Securities, Inc. Victor Schimming Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1991, Claimant James H. Gaddis who appeared Pro Se, alleged that Respondents Andover Securities, Inc. and Victor Schimming failed to deli