N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ot Claimant Jeno Kelety 92-02102 Name of Respondent Robert Todd Financial Corp. REPRESENTATION Claimant. Jeno Kelety. appeared without counsel. For Respondent. Robert Todd Financial Corp. ("RTFC"). Edward Curtin. Esq.. from the law firm of Gersten Savage Kaplowitz & Curtin. CASE iNr Statement of Claim was filed on June 22. 1992.

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In Che Matter of the Arbitration Between Name of Claimants Henry F. and Frances Haraer 92-02096 of Respondents F. N. Wolf & Company, Inc. Clayton R. Bugg REPRESENTATION Claimant Henry F. and Frances Harner ("Claimants") were represented by Ian R. D. Williams, Esq. of the law firm of Harrison & Johnston. For Respondent F. N. Wolf & Company ("Wolf): John S. Ban, Esq. of the law firm

N.A.S.D. AWARD NATIONAL ASSOdATICK OP SECUkTi'ltS In the Matter of the Arbitration Between Kama of Claimant C. B. Scrignar 92-02095 Nam of Respondents 6 Janes G. Shay Claimant ^aftiari to flippm*!* at th*i For Respondent: David M. Mizmick, Esq., First Vice President and General Counsel, Morgan Keegan Co., Menphis, QSB Statammt of Claim flledi June 22, 1992. Claimant's Submission Agreanant signed on: JVily 6, 1992. Joint State

KAJSJ). AWARD NATIONAL ASSOCIATION OF SECUMTIKS Cnol Banko Rogeg^E5taie of August F. Banko, Cloi v. No. 92-02093 Smith Barney Harris Upham & Co., Inc. and Robert Guenther, Respondents. Claimant Carol Banko Rogers/Estate of August F. Banko ("Claimant") appeared on her own behalf. Rnpoixlents Smith Bai^ Ham represented by Paul KL Barenholtz, Esq., of Smith Barney, New York, New York. CASE INFORMATION ^^^^^^^^^n^^n^i^ii^ii^i^ii^ii^i^^v i'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Juan Rodriguez Ochoa; Amelia Gracia de Rodriguez; Juan Rodriguez, Jr. 92-02084 Name of Respondents PaineWebber Incorporated; Michael A. Chmiei For Claimants: Juan Rodriguez Ochoa, Amelia Gracia de Rodriguez and Juan Rodriguez, Jr. were represented by Thomas G. Bousquet, Esq. and Barbara Parsons, Esq. of Bousquet & Pars

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter oLthe^Afbitration Between Name of Claimant Thomas L. Stafford vs. AWARD #92-02083 Name of Respondent National Financial Services Corp. Ifljhe fatter of the Arbitration Between Name of Claimants Signet Investment Corporation n/k/a Signet Financial Services, Inc. Signet Bank/Virginia vs. AWARD #93-02573 Name of Respondent Thomas L. Stafford The abov

N.A.STD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Monica Flanagan 92-02082 Name of Respondent ^ Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant: Joseph F. Keenan, Esq. of Bochat & Keenan, P.C. For Respondent: Robert A.W. Boraks, Esq. of Boraks & Jamnback. CASE INFORMATION Statement of Claim filed: June 19, 1992. Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name i>f n CJaiman{ Sandra Bender 92-02080 Name of Respondents Smith Barney Harris Upham & Co., Inc. Richard T. Carlin, Jr. John Maine Ronald H. Reisman REPRESENTATION For Claimant Sandra Bender ("Claimant"): Claimant originally appeared pro se. On April 19, 1993, Claimant retained counsel: A. Charles Peruto, Attorney at Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTTES DEALERS In the Matter of the Arbitration Between Name^>f Clajmant Jeffrey Brooks Securities, Inc. 92-02077 Name of Respondent J. Gregory & Co., Inc. For Claimant Jeffrey Brooks Securities, Inc. ("Claimant"): Michael G. Shannon, Esq. of the law fiim of Phillips, Lytle, Hitchcock, Blain & Huber located in New Yoric City, New York. For Respondent J. Gregory & Co., Inc. ("Respondent"): Jeffrey S.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmant(s) Leslie A. Ellsmore Victoria A.M. Brown NASD Arbitration No. 92-02075 Name of Respondent^ Paine Webber Incorporated Ralph Amato REPRESENTATION For Claimants: Leslie A. Ellsmore, San Diego, California For Respondents: Scott M. Ratchick, Esq., PaineWebber Incorporated, Los Angeles, California CASE INFORMATION