PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marie R. DiPalma Claimant CASE #92-00859 AHARD vs. Empire National Securities, Inc. Joseph L. Aliotta Respondents CASH SCTMARY In a claim filed with che National Association of Securities Dealers, Inc. on March 12, 1992, -Claimant Marie R. DiPalma by and through her counsel Katherine C. Phufas, Esq., Sole Practitioner, North Tonaw

N.A.S.D. ANARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between ) of Claimant(s) ) Paquita Heraey ) ) Case Mo. 92-00853 Mane of Respondent(s) ) ) Prudential-Bache Securities Inc. ) Bemlce Freeland ) For Claimant, Paquita Horsey ("Hersey"): gco se. For Respondents, Prudential-Bacha Securities, Inc. nka Prudential Securities, IDC. ("PSI") and Bexnice Freeland ("Freeland"): Nancy Basri, Esq. of PSI

NASD Arbitration No. 92-00848 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Bernice Bortson Siegel Name of tfespondentfs) Shearson Lehman Hutton, Inc. Ron Mason Mark Martino REPRESENTATION For Claimant: Bruce R. Safran, Esq., Sherman Oaks, California For Respondents: Timothy N. Will, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00847 AWARD in che Matter of the Arbitration Between Daryoush Javaheri Claimant vs. R.G. Dickinson & Co. Lyle Perlmutter Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1992, Claimant Daryoush Javaheri, who appeared Pro Se, alleged that in January 1992 based on a referral from his friend, Ali Reza

N.A.S.D. AWRHD NKITCNRL ASSOCIATION OF SECORITTES In tha Matter of the Arbitration Between Of < " r la'< Tnpqf g & Shabxouz Vazan vs. NASD #92-00846 Name of Merrill Lynch, Pierce, Fanner & arith, me. Oasan Faiz For Claimants: Michael A. Bertz, Esq., LOB Angeles, California For Respondents: V. Jamas Mann, Esq., Merrill, Lynch, Fierce, Feoner & Sbdth, Inc., Haw York, Mew Yodc. Statement of nnim filed: March 10, 1992 Awoded Statan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rodney D. Cook, individually and As C/F Brandon D. Cook NASD Arbitration No. 92-00841 Najme of Respondents Dean Witter Reynolds, Inc. Tom Chronert Robert S. Harshman REPRESENTATION For Claimant: Lionel Z. Glancey, Esq. - Beverly Hills, California For Respondents: Dean Witter Reynolds, Inc. and Tom Chronert - Timm A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Randy Blair, Claimant v. Allen Andrescu and Lloyd Wade Securities, Inc., Respondents Case Number: 99-03099 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. Law Office of David Liebrader Irvine, California For Respondent Allen Andrescu: Did Not Appear For Respondent Lloyd Wade Securities, Inc.: Did Not Appear CASE I

NASD Arbitration No.92-00837 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sarah L. Frisbie Na^ne of Respondent(s) G.W. Story & Associates, Inc. Adam W. Mizinski, IH REPRESENTATION For Claimant: Scot D. Bernstein, Esq., Sacramento, California, and Joseph L. Staats, Esq., Sacramento, California For Respondent: Stephen F. Boutin, Esq., and Mona E. Opdyke, Esq., Bouti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Margaret M. Downey/Estate of George S. Downey 92-00835 Name of Respondents First Choice Securities, Inc., Eugene Hunter, and Derek Yamada REPRESENTATION OF PARTIES For Claimant at the hearing: Douglas L. Boyd, Esq., Tulsa, Oklahoma. None of the Respondents attended the hearing. CASE INFORMATION Statement of Claim filed March 10,

N.JLS.D. ASSOdSHCN OP ^foj^yirT^? DEALERS, INC. la the Matter of the Ariaitration Christopher Suor Nb. 92-00834 daiaa&t, Cbriatophear Suor was veparesanlsd by Bdoa Salan ^steia, Esq. of , Shcerscn Letaan Brottecs, Sac. and Ihttbaw Quail represented by Rbb«tt J. Xulwr, Eaq. of NM!, Gatbac 6 Biscobng, Qilcago, StateoHnt of Claim MM filed with tba National Aaaootatioa of S*cairitl«i Dealers, Inc. («ma>») on Much 10, 1992. Claimant's Suhmiairlna