PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of .ClaimanUs) GilGillard 92-02348 Name of Respondent^ Prudential Securities Inc Shaun A. Mansfield CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 15, 1992, Claimant Gil GUlard, through his representative, Brian K. Lowe of Investors Arbitration Services, Woodland Hills, Califo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William J. Peters vs. 92-02340 Name of Respondents OTRA Clearing, Inc. R.B. Webster Investments. Inc. William David Jones Richard Dale Kerwit Brad Nirenberg CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1992, Claimant William J. Peters, through his rep

N.A.S.D. AWARD NATIONAL ASSQCIA1 iOtN T OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ernest J. Ceccarelli NASD Arbitration No. 92-02339 Name of Respondent Richard Keleske REPRESENTATION For Claimant: In Pro Se For Respondent: No Appearance CASE INFORMATION Statement of Claim filed: July 14, 1992 Claimant's Submission Agreement signed: July 7, 1992 Statement of Answer filed by Respond

NASD Arbitration No.92-02338 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Michael Browne Name of Respondent(s) Kidder, Peabody & Co., Inc. Prudential-Bache Securities, Inc. Brian Tremain REPRESENTATION For Claimant: Nicolas C. Vaca, Esq., Vaca & Vaca, Walnut Creek, California For Respondent Kidder, Peabody: William H. Phelps, Esq., Kidder, Peabody & Co., Lo

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald Brown, Walter Brown, Lissa Brown, and Thelma Brown, (Claimants) vs. Foster Jeffries Securities, LLC, Douglas Leone, Kevin Held, George Michael Greco, Paul J. Greco, UCH, Inc., Sean McManus, Thomas Maiorana, Steven Lee Karno, Hampton & Harbor, LLC, Robert Thomas, Edward O'Brien, Michael Weiner, and Yaacov Jake Ariel, (Respondents) Case Number: 99-03247 Hearing Site: Boston,

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Isaac M. Diiler 92-02337 Name of Respondent^ Smith Barney Harris Upham & Co.. Inc. Mark Martino REPRESENTATION Claimant appeared Pro Se. For Respondent Smith Barney, Harris Upham & Co., Inc. and Mark Martino: Linda Alpert, Esq. in-house counsel at Smith Barney. CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy J. Dahl 92-02334 Names of Respondents CENPAC Securities Corp. and Carl J. Gottlieb REPRESENTATION Claimant, Dorothy J. Dahl appeared pro se. Respondent, Carl J. Gottlieb appeared pro se. Respondent, CENPAC Securities Corp. did not appear at hearing. CASE INFORMATION The Statement of Claim was filed with the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sidney W. Barbanel Sidney W. Barbanel, IRA Account 92-02331 Name of Respondents Napex Financial Corp. FSC Securities Corporation REPRESENTATION For Claimant: Sidney W. Barbanel, Jordan W. Kapchan, Esq. and Geraldine Barbanel, Esq., sole practitioners. For Respondent: Clifford J. Hunt, Esq. of Riden, Earle & Keifner, P.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant Sidney Kaufman Case No. 92-02329 Name of Respondent PaineWebber, Inc. For Claimant, Sidney Kaufman ("Kaufman"): pja 55- For Respondent, PaineWebber, Inc. ("PW"): Steven M. Greenbaum, Esq. of PaineWebber, Inc. CASE INFORMATION Statement of Claim filed: July 14, 1992. Claimant's Submission Agreement signed: August 26, 1992.

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Dennis A. Rash vs. 92-02327 Name of Respondents) Chatfield Dean & Co. Investment Bankers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1992, Claimant Dennis A. Rash, who appeared Pro Se, alleged that on April 14, 1992 Respondent Chatfield Dean & Co. Investment