Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Caplan, Power of Attorney for Maria B. Caplan, AristaQuest, Inc., and AristaData, Inc., (Claimants) vs. Merrill Lynch Pierce Fenner & Smith, (Respondent) Case Number: 00-04531 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David Caplan, Power of Attorney for Maria B. Caplan ("Caplan"), AristaQuest, Inc. ("AristaQuest"), and AristaData, Inc. ("Arist

Aflaqcarxow or sauuRiTiig t*e Matter of the Arbitratica BetoSS Arbitration National Aaaoafatton of Stourttltt Oaalara, Ino. NASD Financial Cantor 33 Whitehall Street Now York, Naw York 10004 M3K Color, inc., Retirement Tiuat Color Product* 90-02814 Beatr Sttaxxu ft Ccnpaxry Gary R, TaUten Simon K, Schaffler , Groland, Tanaobaum for Reape&datttai Jtaea M. Hubbtet, Eaq. of Bear Stattxzu & Oa., Sac. SUtenant of Claim fil

® N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALSIS la the Matter of the Arbitration Between Name of Robert Dunham Name of Rpflnoryiait (s) U.S. Advisors, Inc. Artrttnrtten National Association of SccurttiM D**i*f», Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-02813 Claimant, Robert Dunham ('Dunham"): ggo se* Respondent, U. S. Advisors ("U.S. Advisors"): Nona,

NASD N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration __ National Association of Securities Dealer*, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Name of 90-02807 Qnanuel Frankfort Name of ResoojTgjents : Dean Witter Reynolds, Inc. Sydney Lynn Faye Weiner For Claimant: Susan Perkins, Esq f Sole Practitioner. For Respondents: B

-NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Joanne C. Samuelson Lee Inkmann, JTWROS Claimants CASE #90-02805 vs. AWARD Joni Lynn Merwin Respondent CASE SUMMARY Pro Se Claimants Joanne C. Samuelson and Lee Inkmann, in a claim filed with the National Association of Securities Dealers, Inc. on October 9, 1990, alleged that Respondent Joni Lynn Merwin, while an account executive with Blinder

N.A.S.D. AHARD NATICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of InnoVet, Inc. Haneof Case No. 90-02799 Drake & Co. United States Capital Corp. Paul M. Misch Heard before the maiimia of the Arbitration Panel: Arnold Y. Steinberg, Esq. Public T.inrifl Singer Stein, Esq. Public Richard B. Frost Industry Claimant, InnoVet, Inc. ("InnoVet"), was represented by Jim Scutti, Esq. Responde

Arbitration ® N.A.S.D. AWARD NKTXCNMi ASSOCIATION OF SBCQRIT1ES DEALERS la the Matter of the Arbitration Between Mama of Scott Walter & Kathryn M. Stroncek Robert C. & Jeanne Eanann Lucille M. Herringshaw & Violette L. Stroncek Violette fc. Stroncek Mage of Reflpnndeat(s) U.S. Advisors Inc. Circle R. Fbland Dennis M. William National AaaocJatlon of StcurttlM Ctotfer*, inc. One East Sroward Boulevard Suite 1000 Ft.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE #90-02125 AWARD In the Matter of the Arbitration Between Patricia R. Kosmal Claimant vs . Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY Patricia A. Kosmal, in a claim filed with the National Association of Securities Dealers, Inc. on August 2, 1990, alleged that Respondent was negligent in the execution of a requested transfer of her IRA account to another

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-02115 AWARD In the Matter of the Arbitration Between Michael B. and Carol A. Russell, JTTEN Claimants vs . Howard Frank Butcher & Singer, Inc. Respondents CASE SUMMARY Michael B. and Carol A. Russell, in a claim filed with the National Association of Securities Dealers, Inc. on July 30, 1990, alleged that Respondent Howard Frank, of Butcher & Singer, Inc., furnished in

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC CASE 190-02112 AWARD In the Matter of the Arbitration Between Themistocles Michaelides Claimant vs. Dean Witter Reynolds, Inc. Lcuis Chamales Dean Witter Financial Services Group, Inc. Respondent CASE SUMMARY Themistocles Michaelides, in a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1990, alleged that Respondents misrepresented the actual value