N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between. ) ) Name of Claimant (s) ) ===== } Lewis Rowe ) ) ) Case No. 90-02532 ) of Respondent (s) ) Shearson Lehman Button, Inc. ) David J Williams, III ) For Claimant, Lewis D. Rowe ("Kowe") : Majorie Miller, Esq. of the Law Offices of Marjorie Miller. For Respondents , Shearson T^i-man Button, TTV? . ( "Shearson 11 ) and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of Claimants Lois and Douglas Maxell 90-02531 nf Respondents Mesirow Capital Markets Mesirow Capital, Inc. Douglas I. Maxwell, Jr. appeared DTP se. Mesirow Capital Markets and Mesirow Capital, Inc. v^re represented by Ttanas Sax r Esq., Arvey, Ifodes, Costello & Barman, Chicago, IL. PaSR 5JMHBHT In a statement of claim file

N.A.S.D. £NAKD of Helen B. gaiif-nniim charlotte H. and. Elmer w. Urban and 90-02528 «ytecli£f Securities, Inc. et al. CF Claimants Charlotte H. a ™j ramon- w. Urban appeared and were represented by Karen Lavin, Esq., MdHfenry, Illinois. Claimant Helen Kaufmana did not appear but vaas represented by Karen Lavin, Esq. Respondent James Dcfebs appeared pro se and on behalf of Respondent Woodfield Planning Corporation, Palatine, Illinois.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norman R. Ross, individually and as Trustee 90-02516 Mane of Respondents J.J.B. Hilliard f W.L. Lyons, Inc. Harry Zorncw For Claimant: Norman R. Ross represented himself and the Trust. For Respondents: Kenneth L. Wagner, Assistant General Counsel, J.J.B. Hilliard, W.L. Lyons, Inc. Statement of Claim filed: September 7, 1990. Claiman

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Samuel L. Kleinman Trust Names of Respondents Morgan Stanley Dean Witter, Inc. Joseph Anthony Fezza -Case No .-00-04878 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Samuel L. Kleinman Trust ("Kleinman") hereinafter referred to as "Claimant": Darren C. Blum, Esq., Plantation, Florida. For Morgan Stanley Dean Witter, Inc. ("

N.A.S.D. AWARD NATIOTRL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Sam Rothman 90*02512 Name of Respondents Rosenkrantz, Lyon & Ross, Inc. Dan Purjes Dan Slums Wertheim Schroeder & Co., Inc. For Claimant : For Respondents; Sam Rotbman appeared pro se. Wertheim. Schroeder & Co., Inc. was represented by Patricia M. Kelly, Esq. of the law firm of Fnl bright & Jaworski.

N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" Name of naimantfs) Ronnie Cohen Name of Respondents) Marvin Herman Michael Novak National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-02510 Heard before the arbitrator: Randy R. Freedman, Esq. Public Claimant,

NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Iharies W. Andrews ' Claimant: vs . CASE #90-02509 AWARD Hopper Soliday and Co., Inc. Philadelphia Corporation Gordon Wright Robert Smith Respondent: CASE SUMMARY Pro Se Claimant:, Charles W. Andrews, in a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1990, allaged that Respondents Hopper Soli

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Peter and Denise Mattiace, JTWROS Claimant vs. Maurice J. Lyons Respondents CASE #90-02504 AWARD CASE SUMMARY Pro Se Claimants Peter and Denise Mattiace, in a claim filed with the National Association of Securities Dealers, Inc. on September 7, 1990, alleged that Respondent Maurice J. Lyons, while employed as a broker at J.T. Moran & Co., Inc.,

N.A.S.D. AMENDS) AWARD ASSOCIATION OF SECURITIES DEALERS In toe Matter of the Arbitration Between ) pf (3) Henry -K, Ruscimeyer Name of Respondent (a) Dean Witter Reynolds, IDC, ) ) Case No. 90-02503 For Claimant, Henry Ruscimeyer ("Rusciineyer") : Meal Blaher, Esq. of Allen, Dyer, Doppelt & Franjola. For Respondent, Dean Hitter Reynolds, Inc. ("Dean Witter") George Sullivan, Esq. of Dean Witter Reynolds, Inc. case Statement