NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Medical and Pharmaceutical Information Bureau, Inc. Pension Trust Claimant vs . Dean Witter Reynolds, Inc. Respondent Case #90-02209 AWARD CASE SUMMARY Arnold Goldstein, on behalf of Claimant Medical and Pharmaceutical Information Bureau, Inc. Pension Trust, in a claim filed with the National Association of Securities Dealers, Inc. on Aug

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between X X Judith Goldstein X Claimant X Case #90-02208 X Award vs. X X Dean Witter Reynolds, Inc. X Respondent X X Heard before: Allen Kilik Public Arbitrator CASE SUMMARY Claimant, Judith Goldstein represented by her brother, Arnold Goldstein, alleged that Respondent, Dean Witter Reynolds, Inc. took commissions on Treasury Bills that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tbe Arbitration Betwoon Of na-i-maTit(3) Ecfcdn L. lauterstein 90-02206 Name of Respondent (s) aoith Barney Harris Opham & Co., Inc. Michael Dudnan For Claimant: E&in L. lauterstein was represented by Joel H. Pullen, Esq. of Kaufinan, Becker, Pullen & Reibach, Inc., gy Antonio, Texas. For gggpTnrtCTifrg • airiHi Barney Harris Upham & Co., Inc. and Michael Dudnan w

_ ^^ Arbitration ' /NnA45iLiaT National Association of ® K.A.S.D. MWBD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATICKRL ASSOCIATION OF SECURITIES DEALERS in the Mattar of the Arbitration Between Janina M. and Joseph DiTullio vs 90-02203 Regional Clearing corporation Heard before! Publiej Jel&ey W. Letwin PutOio CASK This claim was initiated by a Statement of Claim filed with

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfetter of the Arbitration Between Name of riaiman1-/g) Mikki M=Clintic 90-02200 Name of Respondent.* s) Mildred Kay Kendall The Kendall Group For Claimant: H. Thomas Fehn f Esq. of Fields, Fehn and Sherwin For Respondents: Mildred Kay Kendall Statement of Claim filed: August 10, 1990. Claimant's Submission Agreement signed on: July 31, 1990. Respondent Mildred

N.A.S.D. AWARD NOTIONAL ASSOdKTlCN OF SECORITIES DEALERS In the letter of the Acbitration Between Of Marc J. Valeric vs. NASD #90-02197 Name of Resn rfflHqn ta Snearson T^»>»T»I Button, IDC. James For Claimant: Marc J. Valerio, Beverly Hills, California. For Respondents: Stacey A. Myers, Esq., of Keesal, Young & Logan, Long Beach, -Btatanent of rna-tm filed: August 10, 1590 Claimant's Submission Agreement signed: August 2, 1990

* Arbitration National Association of N.A.S.D. AWBRD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS New York^ew'vork 10004 In the Matter of the Arbitration Between Name of riai Jonathan Kanarek 90-02193 of Respondent^ si Salomon Brothers Inc. Heard before the members of the Arbitration Panel: Name Public/ Industry Lewis Silver, Esq. Industry/Cha irman Jeffrey Steinberg Industry /Panelist

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS/ INC. In the Matter of the Arbitration Between CHARLES H. DENNIS Claimant and 90-02191 THOMAS DELANY Respondent REPRESENTATION OF PARTIES Claimant, Charles H. Dennis appeared pro se. Respondent , Thomas J. Delany failed to appear either by counsel or in person. CASE SUMMARY In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on o

Arbitration © National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATICNAL ASSOCIATION OF SKCURITIKS DEALERS FAX (21 2) 858-4389 In the Hatter of the Arbitration Between Q£ Raymond James & Associates, Inc. 90-02190 Name of Gene Jfarrotte CASE STJMMg Claimant, Raymond James & Associates, Inc. ("Claimant"), who was represented by Kevin Carreno of Raymond James & Associates, Inc. , in a claim filed

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Glen Devore and Judy Devore and 00-04821 Kansas City, Missouri Name of Respondents Quest Capital Strategies, Inc. Pruco Securities Corporation Matthew Alan Mikesch REPRESENTATION OF PARTIES Glen Devore and Judy Devore ("Claimants") were represented by Stuart R. Berkowitz, Esq., Platke and Berkowitz, L.L.P., St. Louis, Missouri. Quest Ca