N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of riaimantf s^ F. Paul Mulligan 90-02644 Name of PaineWebber, Inc . Jtorard Redgate Heard before: Name Public/Indus try Cornelius J. IfcAuliffe, Esq. Public Arbitrator Julien F. Begien, Esq. Public Arbitrator Theodore R. Turner, Jr., Esq. Industry Arbitrator Claimant F. Paul Mulligan was represented by Michael Collora, Esq. of

N.A.S.D. AWARD >:3TICNRL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between NELL GKUBB Claimant No. 90-02639 and MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. Respondents Nell Grubb was represented by Lawrence L. Msaler, Esq., Dallas, Texas* Merrill Lynch, Pierce, Fenner & Smith, Inc. was represented by Donald L. Littlefield, Esq. of Geary, Stahl & Spencer, Dallas, Texas. In a statement of claim filed with the Nation

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Ralph and Jane Nicholls, x Claimants, x x CASE NO. vs. x 90-02637 x William J. Leahey, and x AWARD Smith Barney, Harris Upham & Co., Inc., x x Respondents. x ___ x CASE SUMMARY Claimants, Ralph and Jane Nicholls ("Claimants"), alleged that Respondent William J. Leahey's ("Leahey"), an employee of Respondent Smith Barney, Harr

N.A.S.D.JMARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Daniel and Elaine DeAngelo 90-02636 Name Of Jesup, Josephthal &,Co., Inc. For Claimant: Appeared pro se. For Respondent: Donald V. Hanson, Esq., in-house counsel. Statement of Claim filed: September 20, 1990. Claimant's Submission Agreement signed on: September 17, 1990. Statement of Answer filed: December 21, 1990. Respondent di

NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 90-02635 Name of Respondent Smith Barney, Harris, Upham and Company, Inc, For Claimants: Marc A. White, Esq. of the Law Offices of Marc A. White. For Respondent: Edward G. Turan,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name of Claimant(s\ Sydney S. & Regina K. Osten JT TEN 90-02626 Name of Ftogpnrv-tont./ s\ Robert Eisenberg Linsco/Private Ledger Corp. Claimants Sydney and Regina Osten ware represented by Frederick S>*/ Cassman, Esq. Respondents Robert Wisenberg and Linsco/Private Ledger Corp. were represented by Roland Santoni f Esq. CASE SUMMRHY

FEB-24-1995 11 = 21 FROM NPSD-PRBITRflTICN-CNICftGO TO 1 212 858 4389 P.02 N.&.S.D, NKTICNHL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between of Claimant fs^ Janet Beck Saigh Grantor & TTEE 90-02624 Stifoir Nicolaus & Cocrpany, Incorporated K* norland & GO. Annin t. Stucte Clafenant Janet Beck Saigh appeared ggj sg. awpondent Stifel, Nicolaus & co. f lie* was represented fcy Forzsst H. anith, Seq., vice Prof

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of Mildred Nicholson & Jtoyna Hudgen 90-02622 Name of Respondent^ s) Steve H. Sharps Paulson Investment Company Inc. In a Statement of Claim filed with the NASD on September 17, 1990, Claimants Mildred Nicholson and fltoyna Hudgen alleged that Respondents Steve H. Sharpe and Paulson Investment Company, Inc. misrepresented the tax consequen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Gerald P. Bellizzi Case No. 00-04889 Royal Hutton Securities, Coip. John Vazaios, Jr. Richard A. Scarsella Hearing Site: Philadelphia, PA PFPRFSFNTATTrW HP PARTTFR Claimant, Gerald P. Bellizzi ("Claimant"): Nicholas-J. Guiliano, Esq. and Steven M. Dranoff, Esq., Law offices of Dranoff-Perlstein Associates, Philadelphia, PA. Respondent, Royal Hutton Securities, C

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Leon Friedman and Jeanette Friedman, (Claimants) vs. PaineWebber Incorporated and Robert Child, (Respondents) Case Number: 00-00501 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimants, Leon Friedman and Jeanette Friedman, hereinafter collectively referred to as "Claimants": Ronald S. Kossar, Esq., a sole practitioner, Middletown, NY. Respondent, P