* PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajneofCJaiinant Martha Lathrop 92-02483 Name of Respondent Todd Clark "' CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 28, 1992, Claimant Martha Lathrop, who appeared Pro Se, alleged that in June 1991, Respondent Todd Clark, a broker employed with Tamaron Investments, misrepresente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Frank P. Trifeletti Rosemarie Trifeletti NASD Arbitration No. 92-02479 f Resondent^ Associated Planners Securities Corporation D. Vernon Willis REPRESENTATION For Claimants: John F. Gavin, Esq., Bardellini & Straw, San Ramon, California For Respondents: Philip McLeod, Esq. and Gordon C. Young, Esq., Keesal, Young & Logan, Sa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Michael Construction Co., Inc., The Michael Construction Co., Inc. Employee Pension Plan and Trust, and The Michael Construction Co., Inc. Money Purchase Plan and Trust, Claimants, vs. No. 92-02472 Prudential Securities Incorporated, and Ronald Fox, Respondents. REPRESENTATION OF PARTIES For Claimants: Thomas E. Buess, Esq., of Rosenstein and Buess, Chicago, Illinois.

P I ini ip LJ w wi O N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In (he Matter of the Arbitration Between Name of Claimants Kevin and Amy Louise Klem vs. 92-02470 Name of Respondents J.W. Gam and Associates. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 28, 1992, Claimants Kevin & Amy Louise Klem who appeared pro se, alleged that Respondent J.W.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Warner and Janice Sue Wolf vs. Case # 92-02469 Name of Respondents PaineWebber Inc. Scott Silver and Michael Millard REPRESENTATION For Claimants, Warner and Janice Sue Wolf ("Claimants"), Jeffrey P. Bloom, Esq., from the law firm of Metzger, Gordon, Scully & Mortimer. For Respondents, PaineWebber, Inc. ("PaineWebber")

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimants William S. and Carole M. Watman 92-02458 Name of Respondents Wheat First Securities. Inc. Stanley Kotler William Butler REPRESENTATION For Claimants William S. and Carole M. Watman ("Claimants"): William S. Watman For Respondents Wheat First Securities. Inc.("Wheat"), Stanley Kotler (."Kotler") and William Butler ("Butl

N.A.S.D. ANARO NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: Name of Claimants L.W. Llewellyn IND & TTEE/Llewellyn Charitable Remainder Unitrust & O'Arlene B. Llewellyn 92-02452 Name of Respondents Shearson Lehman Hutton, Inc. Hugh S. Hill John Lineweaver REPRESENTATION For Claimants, L.W. Llewellyn IND & TTEE/Llewellyn Charitable Remainder Unitrust & D'Arlene B. Llewellyn ("The Llewellyns"):

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joshua Sky Barrow (Claimant) vs. Merrill Lynch, Pierce, Fenner, & Smith, Inc., John J. O'Connor III, and Paul L. Roche III (Respondents) Case Number: 05-03319 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimant Joshua Sky Barrow hereinafter referred to as "Claimant": Derek Y. Brandt,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Gary D. Sprague, Gary D. Sprague IRA, Nancy K. Sprague, Nancy Sprague IRA (Claimants) v. Royal Alliance Associates, Inc. (Respondent) Case Number. 05-02940 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member. REPRESENTATION OF PARTIES Claimants Gary D. Sprague ("G. Sprague"), Gary D. Sprague IRA (G. Sprague IRA"), Nancy K. Sprague ("N. Sprague"),

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Stevens & Company, Incorporated (Claimant) vs. Vincent Charles Armato, David I. Carter, Dori Jack Dashti, Paul D. Marquardt, Radion Felitnich Medvedovsky, Everton Alexander Murdock, Jonathan W. McHale, Frank Joseph Parascondola, Richard Joseph Perlongo, Brian Scerbo, Joseph Varvara, Keith Thomas Williams and Vincent John Zerbo (Respondents) Case Number: 06-01803 Hearing Site