PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence S. Schmitt 92-02072 Name of Respondents Prudential Securities Inc John Beisner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1992, Claimant Lawrence S. Schmitt, who appeared Pro Se, alleged that Respondent John Beisner, while employed by Respondent fi

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Daniel A. Romaniello Claimant CASE #92-02070 AWARD vs. Stratton Oakmont Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1992. Claimant Daniel A. Romaniello who appeared Pro Se. alleged that Respondent Stratton Oakmont, Inc. by and through Mitchel Goldberg, regi

NASD Arbitration No.92-02063 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Margaret Mary Jane Owens Name of Respondent's) Oppenheimer & Co., Inc Donald B. Zwiebel REPRESENTATION For Claimant: Chris R. Youtz, Esq., Sirianni & Youtz, Seattle, Washington For Respondents: Louis D. Peterson, Esq., Hillis Clark Martin & Peterson, Seattle, Washington CASE INFORMATI

Award NASD Dispute Resolution, Inc. In the Matter of the Aititration Between Name of Claimant DeAnn P. Thomhill Case No. 99-03209 Names of Respondents Delta Asset Management Company, L.L.C. Robert McCarter REPRESENTATION OF PARTIES DeAnn P. Thornhill, hereinafter referred to as "Claimant", appeared pro se. For Delta Asset Management Company, L.L.C. ("Delta") and Robert McCarter ("McCarter"), hereinafter referred to as "Respondents": Chri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Abdul Al-Shabli Latifa R. Al Omer NASD Arbitration No. 92-02061 Name of Respondents') Mohammad Rahman REPRESENTATION For Claimant: Keith A. Ketterling, Esq., Stoll Stoll Berne & Lokting P.C., Portland Oregon For Respondent: Frank H. Lagesen, Esq., Cosgrave, Vergeer & Kester, Portland, Oregon CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Innovating Worthy Projects Foundation Irving W. Packer Case No. 92-02060 Name o/ Resoondent(s) A.G. Edwards & Sons, Inc. David D. David REPRESENTATION For Claimants, Innovating Worthy Projects Foundation ("Innovating") and Irving W. Packer ("Packer"): Randall Henley, Esq of Henley & Brabham , P.A. For Respondents, A.

N.A.S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 0119fid Name of Claimant! s) Thomas and Mary Louise Maloney 92-02056 Name of Respondent(s) PaineWebber. Inc. Paul R. Meese Thomas P. Kelly REPRESENTATION For Claimant Thomas and Mary Louise Maloney: Robert V. Campedel, Esq. of Doepken Koevican Weiss & Madven. For Respondents PaineWebber, Inc. and Paul Meese: robert Sommer, Esq. of K

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants ,^- Press-Tec, Inc. lack E. Aisted 92-02055 Name of Respondents Merrill Lynch. Pierce Fenner & Smith. Inc. Conrad W. Randeil REPRESENTATION For Claimants at the hearing: David W. Dunn, Esq. of Davis Hockenberg Wine Brown Koehn. Des Moines, Iowa. For Respondents at the hearing: Michael E. Obey, Esq. of Merrill Lynch Pie

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Name of Claimant David Baerwaide and 92-02054 Name of Respondent PaineWebber, Inc. REPRESENTATTON OF PARTIES David Baerwaide ("Claimant") was represented by Bradley K. Glazier, Esq. of Buchanan & Bos, Grand Rapids, MI. PaineWebber, Inc. ("Respondent") was represented by Jennifer A. Connors, Attorney at Law. of PaineWebber, Inc., Weebawken

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wheat First Securities. Inc. 92-02053 Name of Respondent Elias Bsharah REPRESENTATION For Claimant Wheat First Securities, Inc. ("Claimant"): Martin J. Glasser, Esq. of the law firm of Lewis, Friedberg, Glasser, Casey & Rollins. For Respondent Elias Bsharah ("Respondent"): Arthur T. Ciccarello, Esq. of me law firm of Ciccar