N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bill Merrill (Wendell W. Merrill) vs. NASD #92-02702 Name of Respondents First American Biltmore Securities, Jay Nance, E. Shawn Casias, Bruce Wank ft WR EfifFNTATION For Claimant: Joseph M. Galosic, Esq. of Ostwald & Yap, of Irvine, California For Respondents: First American Biltmore Securities - J. Nevers, R Casias -

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Juihsia Chu Sun and Linda Feng Min Sun, Claimants vs. CitiCorp Investment Services, Shao Te and Anna Toy, Respondents. Case Number: 99-03300 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Juihsia Chu Sun and Linda Feng Min Sun, hereinafter referred to as "Claimants": Juihsia Chu Sun and Linda Feng Min Sun, Newark, California Respondents, CitiC

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold Birghenthai 92-02697 Name of Respondent Barry Potter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc on August II, 1992. Claimant Harold Birghenthai, who appeared Pro Se, alleged that Respondent Barry Potter solicited him to purchase Club Theater Network stock by insistin

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bob E. Syphrett 92-02691 Name of Respondent Oppenheimer & Co., Inc. For Claimant: Bob E. Syphrett was represented by Jacalyn D. Scott, Esq. of Wilshiie Scott & Dyer, located in Houston, Texas. For Respondent: Oppenheimer & Co., Inc. was represented by Eugene L. Small, Esq. of Oppenheimer & Co., Inc., New York, New York. CAS

N.A.S.D. ORDER NATIONAL ASSOCIATION OF SECURITIES DEAI.EB.S. In the matter of the Arbitration Between Name Edward I. & Beatrice J. Kaltios NASD Arbitration No.92-02689 Name of Respondents> NCNB Securities, Inc. Gary Werner REPRESENTATION For Claimant: Alvin J. Schiftin, Esq., Mill Valley, California For Respondent: George C. Covington, Esq., Kennedy Covington Lobdell & Hickman, Charlotte, North Carolina f ASF. TNFOHMATTON Sta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeff Bailey 92-02688 Name of Respondents Merrill Lynch, Pierce, Fertner & Smith, Inc.; Marc Peacock REPRESENTATION For Claimant: Jeff Bailey was represented by Raymond H. Stauffacher, Jr., Esq. and Steve Ellinger, Esq. of Houston, Texas. For Respondents: Merrill Lynch. Pierce, Fenner & Smith, Inc. was represented by Michael

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William H. Myers Viola J. Myers Case No. 92-02686 Name of Respondentfs) Dean Witter Reynolds. Inc. Harlan Wilson REPRESENTATION For Claimants, William H. and Viola J. Myers ("Myers"): Adam S. Doner. Esq. of Davis, Gordon & Doner, P.A. For Respondents, Dean Witter Reynolds, Inc. ("Dean Witter") and Harlan Wilson (

X.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 92-02685 Name of Respondent Morris Pearl REPRESENTATION For Claimant: Jill Byrne, Esq. of Kutak Rock. For Respondent: Anthony Ferrara, Esq. of Polstein & Ferrara & Dwyer, P.C. CASE INFORMATION Statement of Claim filed: August 10, 1992. Claimant's Submission Agreement signed on: July 31. 1992.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Blane Skewes No. 92-02680 Name of Respondent Shearson Lehman Hutton, Inc. a/k/a Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES For Claimant: James Lawing, Esq., Wichita, Kansas. For Respondent: Ralph P. Schiavo, Esq., Shearson Lehman Brothers, Inc., New York, New York. CASE INFORMATION Statement of Claim filed on or about: August 10, 1992. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Kaplan 92-02679 Name of Respondents Pnidential-Bache Securities Inc. Jeanette Markus REPRESENTATION For Claimant, Michael Kaplan ("Kaplan"): Dennis M. Boyce, Esq., West Palm Beach, Florida. For Respondents, Prudential Securities, Inc. ("Prudential") and Jeannette Markus ("Markus"): V. Michael Arias, Esq. of Prud