Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jesus Davila, Claimant v. Morgan Stanley Dean Witter, Inc. and Isidro Z. Miramontes, Respondents Case Number: 00-04523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Jesus Devila: For Respondents Morgan Stanley Dean Witter, Inc. and Isidro Z. Miramontes: David J. Cowan, Esq. Law Offices of David J. Cowan Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the ttetter of the Arbitration Between Name of f!laimantifs| Helen M. Halvorsen 90-02067 Name of Dean Witter Reynolds, Inc. David Hone Heard before: Name Public /Industry Robert D. Rankin, Esq. _ Public _ _ This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD 11 ) on August 3, 1990. Claimant, He

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #90 QJM3 AWARIT In the Matter of the Arbitration Between Jacques Mertens Claimant vs . Herzog, Heine, Geduld, Inc. Respondent CASE SUMMARY Jacques Mertens, Pro Se, in a claim filed with the National Association of Securities Dealers, Inc. on July 26, 1990, alleged that Mutual Series Fund, Inc., Shawmut Bank of Boston and Herzog, Heine, Geduld, Inc. gave him varying and mislead

- J=lPR 30 '91 Q9 ; 2S OMNI 614 451-3030" HKK & '»! iViJ N.A,fl.D. HKTICtttL ASSOCIATION OF SECURITIES DEALERS In tho Jtotter of the Arbitration Between of Claimant Lawrence William 90-02062 H. William Pierce John Bradley Heard beforet Nona Public/Industry Benjamin B. Segel Public AcfaitrtJbor In a clato filed on JUly 26, 1990, Uwrertce W. NUIflr ("Claimant"}, R. wdliMl Fierce and Jtohn to psowtly rollover the proceed

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between X X Donald L. Massey X Claimant X X vs. X Case #90-02060 X Award PaineWebber, Inc. X Prudential-Bache Securities, Inc. X James A. Scherer X Respondents X X Heard before: Daniel E. Gulden Public Arbitrator Emily Grigsby Public Arbitrator Jack Kucera Industry Arbitrator CASE SUMMARY In a claim filed with the National Associatio

® N.A.O.U. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" Name of Claimant'./ a) Michael Stcyka Arbitration National Association of Sacurtttes DMtort, inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Case No. 90-02054 Name . / s \ Michael Novak Russell Herman For Claimant, Michael Stoyka ("Stoyka"): Russell L. Forkey, Esq. of the Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimantfsi Daniel N. Condiles 90-02053 Name of Respondentfs1 Louis Papa Heard before: Richard B. Laden Public arbitrator RE P RE S ENTATION Claimant was represented by Robert J. Donaghy, Esq. of Robert? J. Donaghy & Associates. Respondent was represented by Fred J. Ambrose, Esq. of Ambrose Associates. CASE SUMMARY

Arbitration NASD AWARD National Association of W.A.&.U., -ftKftKu Securities Deaters. Inc. _ _ NASD Financial Center NATIONAL- ASSOCIATION OP SEXJURi'l'IKS DEALERS 33 Whitehall Street _ _ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212) 858-4389 of Peter P. Janos & Yiannias Petros 90-02052 NameofResjogndents Prudential Securities Inc Bradford Haoerman [JXTJJLH For Claimants Peter P. Janos & Yiannias Petros

N.A.5.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Florida 33301 (305) 522-7391 Sharad P. and Pamela K. Wavde of William Beson CASE #90-02051 Heard before the arbitrator: Philip F. Ludovici, Esq. Public This claim was initiated by a Statement of

N.A.S.D. AWARD •V NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marie E. Sexauer Claimant(s) and 90-02050 IDS Financial Services Inc. Blair Witt Ron Eichoff Priscilla Vfoodley Respondents) Claimant Marie E. Sexauer appeared pro se and was assisted by her son, Richard J. Itoppert and her daughter, Jean K. Tipton. Respondents IDS Financial Services, Inc., Blair Witt, Ron Eichof f and Prisci