N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ttema_of_ClaiiDant:f si Jeff Josephson 90-00550 Name of Itonas A. Tryhane Heard before: Nane Public/Industry Martin Jay Siegel Public Arbitrator Edward T. Hill Public Arbitrator Cosimo Patti industry Arbitrator Claimant, Jeff Josephson ("Claimant") alleged that Respondent, Thomas A. Tryhane ("Respondent") made an unauthorized purcha

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen Dong, Lisa Dong and Amy Moy Claimant vs. John Bennett Respondents OATH AND AWARD OF ARBITRATOR 90-00548 1330 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 related by blood or marr

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Rhea Gavry ) (formerly Rhea Gavry ) Douglas) Claimant ) ) vs. ) AWARD ) Shearson Lehman Button, Inc. ) William Moseley Respondents ) CASE NO. 90-00542 ) SUMMARY OF ISSUES Claimant alleged Respondents misrepresented the nature of certain investment vehicles, misrepresented the comparability of a Hutton-sponsored government securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Name oJ Philip J. Poirer 90-00535 Name nf ^gpTTlrilRntr f 5 ^ PaineWabber, Inc. William "Jeff" Austin Heard before: Name Joseph J. Aron Ronald L. Cameron Larry Maize Public/IT Public Public Industry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers

N.A.S.D. SWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants} Kenneth A, Kawailer 90-00533 Name of lianas A. Ttyhane Heard before: Mane Public/Industry Martin Jay Siegel Public Arbitrator Edward T. Hill Public Arbitrator Gusiir< j Patti Industry Arbitrarcox; Claimant, Kenneth Kawailer ("Claimant"), alleged that Respondent, Ofoonas A. Tryhane ("Respondent") made two unauthoriz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl James Zira 90-00532 nf Thcmas A. Tryhane Heard before: Name Public /Industry Ifertin Jay Siegel Public Arbitrator Edward T. Hill Public Arbitrator Gosimo Petti Industry Arbitrator Claimant, James Zima ("Claimant"), alleged that Respondent, Thomas A. Tryhane ("Respondent 1 ) sold his Phontel with authoriza

NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between/Among Robert Barra and James Kierman JTWROS Claimants vs. Berkeley Securities Corporation and Robert Fiorese Respondents Case #90-00529 AWARD CASE SUMMARY This case-was filed on February 20, 1990. Claimants, Robert Barra and James Kierman, allege that Respondent, Robert Fiorese, the registered representative employed by Respondent, Berkeley Securities Corpora

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc., Claimant v. Sam Murad, Respondent Case Number: 00-04734 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: James J. Vihstadt Ameritrade, Inc. Bellevue, Nebraska For Respondent: Sam Murad In Pro Per Aliso Viejo, California CASE INFORMATION Statement of Claim filed: October 19,2000 Claimant's Uniform Submission

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Terry Guyer, Claimant v. Morgan Stanley Dean Witter, Christopher Frank and Carrie Austin, Respondents Case Number: 00-00489 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Timothy A. Canning, Esq. Novato, California For Respondents: Wendy R. Robinson, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION

t NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. \ \ In the Matter of the Arbitration Between ) ) Jack M. Wartels ) Claimant ) ) AWARD vs. ) ) NASD #90-00526 Sutro & Co., Inc. ) Irwin Olian ) Respondent ) ) SUMMARY OF ISSUES Claimant alleged misrepresentation, fraud, and breach of fiduciary duty by Respondents arising out of the sale in July 1989 of the common stock of Medco Research. Claimant also alleg