N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert F. Kuechenberg 93-02726 Name of Respondent Dean Witter Reynolds, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1993, Claimant Robert F. Kuechenberg, who appeared Pro Se, alleged that Respondent Dean Witter Reynolds, Inc. failed to follow proper procedure and prac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eli Vincent Gaiani 93-02717 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Dana De Windt CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1993, Claimant Eli Vincent Gaiani, who appeared Pro Se, alleged that Respondent Dana De Windt,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernard L Strassberg 93-02712 Name of Respondent Broadcort Capital Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1993, Claimant Bernard J. Strassberg, who appeared Pro Se, alleged that during the first week of May, 1993 he had a number of telephone conversations

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Mauer of the Arbitration Between Name of Claimant Mary Ann Spollito 93-02697 Name of Respondent Barbara Doueias CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 12, 1993, Claimant Mary Ann Spollito. who appeared Pro Se. alleged that on November 13, 1992 she went to the office of Respondent Barbara Douglas at Dean Witter Reynolds. I

AMENDED N.A.S:D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between -, PUBLIC Name of Claimants') Doris G. Parker 93-02685 Name of Respondent(s) Olde Discount Corporation Brent Masters REPRESENTATION The Claimant appeared pro se. For Respondents Olde Discount Corporation and Brent Masters: Ira N. Otto, Esq., in-house counsel. CASE INFORMATION Statement of Claim filed: July 8, 1993.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret A. Rowe and Peter Rowe (Claimants) vs. Thomas Mullooly and Morgan Stanley DW Inc., f7k/a Dean Witter Reynolds, Inc., (Respondents) Case Number: 00-03712 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Margaret A. Rowe and Peter Rowe, hereinafter referred to as "Claimants": Richard M. Fricke, Esq., Fricke and Solomon, P.C., Newark, NJ. Respondents, Morgan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES Df/U.F.RS. INC la the matter of the Arbitration Between Name of Claimant ALLAN n RORTFT NASD Arbitration vs . No. 93-02677 Name nf Respondent SUTRO fe CO.. INC. REPRESENTATION For Claimant: Gail J. Saliterman, Esq. - San Francisco, California For Respondent:Gilben R. Scrota, Esq. • Howard Rice Nemerovski Canady Robertson Falk & Rabkin - San Francisco, California CASK INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert M. Van Pelt 93-02676 Name of Respondents Benita Pierce B. Pierce & Co., Inc. REPRESENTATION Robert M. Van Pelt represented himself. Benita Pierce represented herself and B. Pierce & Co., Inc. CASE INFORMATION Statement of Claim filed: July 7, 1993 Claimant Robert W. Van Pelt's ("Claimant") Submission Agreemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.P. Morgan Securities, Inc. 93-02647 Name of Respondent Berean Capital, Inc. REPRESENTATION For Claimant J.P. Morgan Securities ("Claimant"): Donna I. Dennis, Esq. of the law firm of Richards Spears Kibbe & Orbe. For Respondent Berean Capital, Inc. ("Respondent"): Michelle J. d'Arcambal, Esq. of the law firm of Ross & Hard

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Randy Dale and Mary Gentile No. 93-02638 v. Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimants: Randy Dale, Aliso Viejo, California For Respondent: Ann Parry, Esq., Smith Barney Shearson, New York, New York CASE INFORMATION Statement of Claim filed: July 2, 1993 Amendm