N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ PUBLIC John W. Jaeger, Jr.. Exec/TTEE 92-01311 Name of Respondents) Bear Stearns & Company Richard M Burridge REPRESENTATION For Claimant: John W. Jaeger. Jr. Executor/TTEE: Phillip H. Rubinstein. Esq. of John W. Giltman & Associates. For Respondents Bear Stearns & Co. Inc. and Richard M. Burridge: William Mallery, Esq., i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George F. Gilbert 92-01310 Name of Respondents Janney Montgomery Scott Inc. Harold F. Fife For Claimant George F. Gilbert ("Claimant"): Anthony J. Horn. Attorney at Law For Respondents Janney Montgomery Scott. Inc. and Harold F. Fife (collectively referred to as "Respondents"): Elizabeth Hoop Fay. Esq. of the law firm of Morgan

J5nCIATIQN Of figgtTR3 PHM.EBfl. In the matter of the Arbitration Between Maureen J. O'Toole Terence P. O'Toola NftSD Arbitration Mo. 92-01308 of ttagoririH: Merrill Lynch/ Pierce. Fenner & salth, lac. Timothy H. Holt For claimant: Mb Appearance by claimants For Respondents: Dave Lenny, Baq. , Cala&asaa, California % Statement of Claim filed: April 13, 1992 Claimants' SubtoiBaioa Agreements signed as follows: Maureen J. O'Too

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Peitzznan 92-01304 f Resondents Dean Witter Reynolds, Inc., Carl F. Nelson & Leslie A. Nelson RBPRBSKNTATJLOM OF RMCTIKS For Claimant at the hearing: Thomas B. Hatch, Esq. of Robins, Kaplan, Miller & Ciresi, Minneapolis, Minnesota. For Respondents at the hearing: Scott E. Richter, Esq. of Popham & Haik, Minneapolis

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Thomas G. Daniel & John Daniel, JTWROS Martina Ward & Thomas G. Daniel, JTWROS Claimants vs. Olde Discount Corporation Respondent CASK f92-01301 AMMO) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 14, 1992, Claimants Thomas G. Daniel, John Daniel & Martina Ward, who appeared Pro Se, a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phillip and Kathry Siegel et al. 92-01300 Name of Respondents The Ohio Company Dennis O'Brien REPRESENTATION For Claimants: Anthony V. Trogan, Esq. of Weissmann Trogan Young & Schloss. For Respondent, The Ohio Company: lames A. Francis, Esq. of The Ohio Company. For Respondent, Dennis O'Brien: Dennis J. Concilia, E

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03169 Lloyd Munjack, claimant vs. DLJ Direct, respondent. ATTORNEYS; Claimant Lloyd Munjack ("Claimant"), appeared Pro Se., Warwick, New York. For Respondent DLJ Direct ("Respondent"), David J. Cambell, Esq., Senior Vice President and Assistant General Counsel, Jersey City, New Jersey. DATE FILED: 7/12/1999 CASE SUMMARY: Claimant maintained that on April 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Samuel Kaufman 92-01294 Name of Respondent Steven J. Miieo * REPRESENTATION For Claimant, Samuel Kaufman ("Kaufman"): Michael R. Casey, Esq. of Casey and Molchan. For Respondent, Steven J. Mileo ("Mileo"): Alfred A. LaSoite, Esq. CASE INFORMATION Statement of Claim filed on April 14, 1992. Claimant's Submission Agreemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Walter J. Morrison & Mary D. Morrison 92-01290 Name of Respondents Prudential Securities Inc Josef A. Stark REPRESENTATION For Claimants: Mitchell H. Cobert, Esq. For Respondent. Prudential Securities, Inc.: Marc S. Dob in, Esq., of Prudential Securities. Inc. For Respondent. Josef A. Stark: Josef A. Stark appearing pro se

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martha C. Kennedy 92-01285 Name of Respondents PaineWebber, Inc. Jack Holdstein REPRESENTATION For Claimant, Martha C. Kennedy ("Kennedy"): Robert I. Gill, Esq. of Isphording Korp Payne. For Respondents, PaineWebber, Inc. ("P.W.") and Jack Holdstein ("Holdstein"): Steven M. Greenbaum, Esq. of PaineWebber, Inc. CASE