NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CHATFIELD DEAN & CO., INC., a Colorado Corporation, CLAIMANT, V9, METRO HAULING, INC., a Virginia Corporation, and WILLIAM B. SLOAN, RESPONDENTS. NAMES OF COUNSEL Appearing for Claimant Chatfield Dean & Co., Inc.: Appearing for Respondents Metro Hauling, Inc. and William B. Sloan: CASE INFORMATION Date Claim Was Filed: Names of Arbitrators: Date Award Was Render

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClainjjnts Manny Gold and Sylvia Gold 92-02228 Name of Respondents Dean Witter Reynolds Inc. John Jensen CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7, 1992, Claimants Manny & Sylvia Gold, through their representative, Eric Bemeger, alleged that Respondents Dean Witter Rey

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Virginia M. Happel individually and as trustee of the Virginia M. Happel Trust Case No. 92-02227 Name of Respondent(s) PaineWebber, Inc. Dale L. Emerick REPRESENTATION Claimant, Virginia M. Happel ("Happel") was Pro Se. For Respondents, PaineWebber, Inc. ("PaineWebber") and Dale L. Emerick ("Eraerick"): Michael R. Al

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ PaineWebber, Inc. 92-02226 Name of Respondents) Timothy D. Trimmer REPRESENTATION For Claimant, PaineWebber Incorporated ("PaineWebber"): Michael R. Alford, Esq. of PaineWebber, Inc.. For Respondent, Timothy D. Trimmer ("Trimmer"): Rudy Edwards, Esq. of Edwards, Sharpe and Wickman. CASE INFORMATION State

NASD Arbitration No.92-02222 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.ALERS. DSTCL In the matter of the Arbitration Between Name of Claimant^ Dean R. Sander Name of Respondents David Alan Park David Duke Financial, Inc REPRESENTATION For Claimant: Paul N. Young, Securities Arbitration Group, Inc., Marina del Rey, California For Respondents: David A. Park, David Duke Financial, Inc., Los Angeles, California CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gladys Hankla, Successor Executor of the Estate of Vivian Murphy, deceased, assignee of Norman Nelson, formerly Personal Representative of the Estate of Genevieve Soller and Vivian Murphy, both deceased. 92-02216 Name of Respondents Roger J. Lange Company, Inc., Roger J. Lange Jan F. Lange, Aegon USA Securities f/k/a Midam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the marter of the Arbitration Between of Claimants Jeanne Bode' Groeper NASD Arbitration No. 92-02214 Name of Respondents Yaeger Securities, Inc. Norma Yaeger Jack Halpern REPRESENTATION For Claimant: Carroll R. Melton, Arbitration Consultants, Inc., Woodland Hills, California For Respondents: Yaeger Securities and Norma Yaeger: David Mahler, Yaeger Securities, Inc.,

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name or Claimant Frank J. Lockwood Case # vs. 92-02213 Name of Respondents Donald & Co. Securities. Inc. Stephen Blum Peter Guardino Anthony Pontecorvo Walter Wright Courtland R. Michaels REPRESENTATION For Claimant, Frank J. Lockwood ("Claimant") John P. Clone, Esq. For Respondents, Donald & Co., Securities, Inc., Stephen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES!DEA!$RS In the Matter of the Arbitration Between * Name of Claimant Betty Braselton 92-02211 Name of Respondents Dreher & Associates. Inc. Fred Mohl For Claimant, Betty Braselton at the hearing: Scott Levin, Esq. of Levin, McParland, Phillips, Leydig, & Haberkora, Chicago, Illinois. For Respondents, Dreher & Associates, Inc. and Fred Mohl at the hearing: Thomas P. Ward, Esq. of McBrid

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gilford Securities Incorporated (Claimant) vs. Joseph Secreti, (Respondent) Case Number: 99-03225 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Gilford Securities Incorporated, hereinafter referred to as "Claimant": Norman S. Lawi, Esq., Special Counsel, Gilford Securities Incorporated, New York, NY. Respondent, Joseph Secreti, hereinafter referred to as