NAS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth J. Ziegeimeyer and *90-OI994 Name of Respondent A.6. Edwards & Sons, Inc. REPRESENTATION OF PARTIES For Claimant: Jerome Raskas, Esq. For Respondent: William S. Port, Esq. Stephen Sneeringer, Esq. fASF INFORMATION Statement of Claim filed: on or about July 18, 1990. Claimant's Submission Agreement signed on: July

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ,JV In the Matter of the Arbitration Between Name of C Jonathan B. Frost 90-01990 of Respondent Dean Witter Reynolds f Daniel C. Reardon CF Dean Witter Reynolds, Inc. was represented by Scott E. Richter, Esq. of Popham, Haik, Schnobrich & Kaufman, Ltd., Minneapolis , Minnesota. Daniel Reardon was represented by Jan Stuurmans, Esq. of Stuurmans & Karan, P. A., Minneapolis,

Arbitration National Association of N.A.S.D. FINAL ORDER purities Dealers Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 NKTICNRL ASSOCIATION OF SECURITIES DEALERS FAX (212)858-4389 la the fcfetter of the Arbitration Between Hame_of_g.aigHnt Barry Pearl 90-01989 Name of Respondents Ken Bernstein P.M. Stevens Securities Corp. Gary Michael Stevens Arlene Dolores Stevens Pursuant to Section 43 (c) of the

N.A.S.D. AHAKD NATIONAL ASSOCTATICN OF SECURITIES DEMURS In the Hatter of the Arbitration Between Of James V. McAnally 90-01987 of Respondent: (s) TA'hman HuttQQ, IDC* Kenneth Jobes Douglas Young For claimant: James V. Moftnally was represented by Raymond L. Britten, Jr. , Esq. of Cage, Hill & Niebaus, Houston, Texas. TjaHnan HUttOQ, Tno m DOW taOWQ aS SheaXSGCI Brothers, IDC., Kezmeth Jobes and Douglas Young were represented

NATIONAL ASSOCIATION OF SECURITIES DEALERS p INC. In the Matter of the Arbitration Between x x Stephen P. Maxson x Claimant x x CASE NO. vs. x 90-01986 x U.S. Clearing Corp. x AWARD x Respondent x x CASE SUMMARY Claimant, Stephen P. Maxson ("Maxson"), alleged that Respondent, U.S. Clearing Corp. ("USCC"), failed to timely deposit 10,000 shares of Business Journal of New Jersey, Inc. ("BJNJ") common stock into his

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 03-02757 Sheldon and Gertrude Bloom, Claimants v. Kirlin Securities, Inc., Respondent. ATTORNEYS: Claimants, Sheldon and Gertrude Bloom, (collectively "Claimants"), appeared pro se, Staten Island, NY. Respondent, Kirlin Securities, Inc., ("Respondent") appeared through its in-house counsel, Barry M. Bordetsky, Esq., Syosset, NY. Respondent, Robert Lehrman, ("Respondent"), did not respond to

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Hilary Shane (Claimant) v. First New York Securities, Inc. (Respondent) Case Number: 03-02756 Hearing Site: New York, New York Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Hilary Shane ("Shane") hereinafter referred to as "Claimant": David P. Gillett, Esq., Derfher & Gillett, LLP, formerly Derfher & Mahler, LLC, New York, NY. Previously

Award NASD Dispute Resolution, Inc. In tne Matter ol tne Arbitration between: Name of the Claimant Case Number: 00-04519 Randall Allan Krepfle Name of the Respondent Hearing Site: Tampa, Florida Morgan Stanley Dean Witter, Inc. REPRESENTATION OF PARTIES For Randall A. Krepfle ("Krepfle"), hereinafter referred to as "Claimant": Alice K. Jump, Attorney at Law, New York, New York. For Morgan Stanley Dean Witter, Inc. ("Dean Witter"), hereinafter re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James P. Grosso (Claimant) v. First Montauk Securities Corp. and Guy Gebbia (Respondents) Case Number: 03-02755 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant James P. Grosso ("Grosso") hereinafter referred to as "Claimant": Charles M. O'Rourke, Esq., Woodbury, NY. Previously appeared pro se.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lilian Heidenberg Reitman (Claimant) v. UBS Financial Services, Inc. f/k/a UBS PaineWebber, Inc. and Isadore Friedman (Respondents) Case Number: 03-02754 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Lilian Heidenberg Reitman ("Reitman") hereinafter referred to as "Claimant": James