0 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between)" Nama of dlaimant(s) ) Edward H. Scarpitti ) Name of- Oppenheimer & Co . p Inc . Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 ) Case No. 90-01616 Heard before the members of the Arbitration Panel: George Felos, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Joan Goldberg and Joan Goldberg as Custodian FBO of Stuart Goldberg and Joan Goldberg Custodian FBO Joshua Goldberg Award #90-01612 vs. Joseph A. Hopkins, III and Financial Clearing & Services Corp. CASE SUMMARY Claimant alleged that Respondents purchased securities for her account without authorization with proceeds from the sale of another

Arbitration JJ.A.y.1). AWAWIJ ~~ National Association of _ Securities Dealers, Inc. NAHCNAL ASSOCIATICN OP SECURITIES DEALERS NASD Financial Center _ 33 Whitehall Street In the Matter of the Arbitration Between New York ' N « w York 10004 Name of Roger Prisch 90-01606 Name of Respondent < s) M.J. Whitman & Co., Inc. Claimant appeared pro se. For Respondent: Terry D. Weissman Esq. of Kramer Levin Nessen Kamin &

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norman J. Dinkel 90-01603 Claimant vs. Prudential Bache Securities, Inc. Michael Kirkpatrick Respondents OATH AND AWARD OF ARBITRATOR Having been selected as an arbitrator to consider and determine the matter in controversy between the above-captioned parties, I solemnly swear or affirm that: I am not an employer of, employed by or ' relat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Vladimir Gourevich and Gene Dvorkin, (Claimants) vs. Bluestone Capital Corporation f/k/a Whale Securities Co., Inc., Dmitry Aranovich, GKN Securities Corp., and Carlos Garceran, (Respondents) Case Number: 00-04792 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Vladimir Gourevich ("Gourevich") and Gene Dvorkin ("Dvorkin"), hereinafter collectively

Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASD Financial Center - - 33 Whitehall Street ) New York, New York 10004 In the Matter of the Arbitration Between ) ) CHARLES H. EDEN, JR. as Executor of the Estate ) CASE NO. 90-01599 Claimant of Harriet C. Roberts ) v. ) ) SHEARSON LEHMAN BROTHERS, INC* ) STEPHEN PRESCOTT, ) Respondents ) REPRESENTATION For Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Simoons Gorreia Jt. 90-01597 Ninne of Reflpc T^J M»I i Brothers r Enc. Gocreia, Jr. ("Claimant") miLUPCTitnl himself Respondent *ihmrgr?n t^a«i«n Button, Tnn. ("RcepCDdeat") was represented by WLlllam A* ft^hmimrr, Associate General r^niff^i foo: Shearacn Lehmm Brothers, Inc. Statement of Claim filed: June 7, 1990. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Hams of Clalimnt(s) ) Michael McNamee ) Name of Renpmrtpnt (s) 9BOBHIE&9BR9MMI^S^^^S&^^^^^^S5S Shearson T^»H»TI Button, Inc. Thomas Vietzte Michael J. McUamee, Jr. Case No. 90-01593 Ptar Claimant, Michael ****• ....... ("McNamee Sr."): Joel and Nekvasil, P. A. f Esq. of For F>VIJ^N • M Viil M. Button, Inc. ("Shearscn")

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between ) ) Fran Lalouche ) Claimant ) ) AWARD vs. ) } NASD NO. 90-01590 Shearson Lehman Hutton, Inc. ) Dennis Schwary ) Respondents ) SUMMARY OF ISSUES This case was filed with the National Association of Securities Dealers, Inc. ("NASD") on June 5, 1990. Claimant alleged: lack of suitability in the purchase of securities in Lomas Financial

H.A.S.D, AWARD NATICNSL ASSOCIATION OF SECURITIES DEALERS In the Matter of frh* Arbitration Between Gerald Simini and Anna Paolucci NASD Arbitration v No. 90-01589 Dean Witter Reynolds, Inc. Shearson Tftimm Button, Inc. Timothy Stockton For Claimant: Michael W« King, Esq. - Dernier, Armstrong & Rowland For Responds! t: Dean Witter Reynolds, Inc. - Curt H. Mueller, Esq. Hutted, Inc. - *••**"*« Yarden, Esq. No Appearance by Respondent