Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Betty Johnson, (Claimant) vs. Investor's Advocate, LLC, Steven Maczka, and Jason Watkins, (Respondents) Case Number: 00-04527 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Betty Johnson, hereinafter referred to as "Claimant", appeared pro se. Respondents, Investor's Advocate, LLC ("Investor's"), Steven Maczka ("Maczka"), and Jason Watkins ("Watkins")

-NATIONAL ASSOCIATION OF -SECURITIES DEALERS, INC, CASE #90-02109 AWARD In the Matter of the Arbitration Between Louis J. and Mary T. Artioli Claimants vs . Charles Schwab & Co., Inc. Respondent CASE SUMMARY Pro Se Claimants Louis J. and Mary T. Artioli, in a claim filed with the National Association of Securities Dealers, Inc. on August 1, 1990 f alleged that Respondent Charles Schwab & Co., Inc. failed to execute a sell

^Q N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEATHS In the totter of the Arbitration Between ) Name of nai ) Raymond M. and Johanna C. Monterosso ) ) ) Name of Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 90-02107 John Mace Heard before the matters of the Arbitration Panel: George Felos, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Vicki L. Dillner Claimant vs. Dean Witter Reynolds, Inc. and Roger L. Cole Respondents AR3l TRA-nON-CH«CAGO REPRESENTATION OF PARTIES Claimant was represented by Robert W. McPherson, Esq. of Golden, McPherson & Wilson, P. C. , Memphis, Tennessee. Respondents were represented by Edward W. Larkin, Esq. of Dean Witter Reynolds, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of CJ.aimant:{a} Jtertin Craig Strickland 90-02094 Name Qf Resprinrtonl-.f fi) Shearson Lehnan Hutton, Inc. Heard before: Name Daniel E. Gulden, Esq. Public / Industry Public Arbitrator Appearance of Counsel: ftortin Craig Strickland Shearson Lehman Hutton, Inc. pro se Sara Anne Ford, Esq. of Peterson Dillar

N.A.S.D. AWARD NATIONAL ASSOdATICK OF SECURITIES DEALERS In the Matter of the Arbitration Between Q£ Nils B.R. Carlson AWARD vs. NASD #90-02092 Q£ Sacks Securities, Inc. Richard Sacks Gruntal & Coopany, Inc. For dainant: Wbrth H. Morton, Santa Rosa r California FOOT Sacks Securities, Inc.l: Richard Sacks Richard Sacks: } Nbvato, California Gruntal & Ccnpany: Eric S. Hutner, Esq., Gruntal & CVufwry, New York, New Yorfc

M I\ C Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the frtotter of the Arbitration Betvreen Name of maimant-.{a) Dorian L. Peterson & Kristine A. Grinder 90-02091 Name of Respondentfs) Shearson Lehman Iftitton, Inc. National Association of Securitltt Orators, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Heard before the arbitration Arbitration Panel *- Name Public/Industry ftarvin

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Nicolas Trivich Claimant V S Case #90-02090 i Oppenheimer and Company, Inc. Respondent SUMMARY Nicolas Trivich, in a claim filed with the National Association of Securities Dealers, Inc. on July 30 f _1990, alleged inappropriate handling of his account by an untrained, P 00 ^ supervised employee at Oppenheimer and Company, Inc. H

N.A.S.D. AWARD "i NATIONAL ASSOCIATION OF SECURITIES DEALERS L ; In the Matter of the Arbitration Between ~ Name of CJ a i manf. i s i Huguette Wilson Family Trusr. 90-02089 Name < pf Respondent f s 1 Stuart Janes Company, Inc. Claimant was represented by Alexander L. Haus, Esq. Respondent Stuart-James was represented by John ifcBride, Esq. This matter was initiated by a Statement of Claim filed with the National Association of Securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Suzanne Decker 90-02087 Mama of PaineWebber, Inc. Robert Moore In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 30, 1990, Suzanne Decker ("Claimant") alleged that Robert Moore ("Moore") a registered representative of PaineWebber, Inc. ("PaineWebber") (collectively as "Respondents") made materi