N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Herschel G. Levy, as custodian for Erika Golub, Jennifer Garcia, Mark Golub and Michelle Garcia Case No. 92-00250 Name of Respondents) Robyns Capital Corporation Richard Monivis Rosenkrantz Lyon & Ross, Inc. Claimant, Herschel G. Levy as Custodian ("Levy"): was pro SJE. For Respondents, Rosenkrantz Lyon & Ross, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants John C. and Shanna Olness 92-00248 Names of Respondents Biltmore Equities and Securities. Ltd., Robert A. Quiel, Larry H. Malenfant. Michael L. Quiel and Mark P. Malenfant Claimants, John and Shanna Olness were represented by Barry H. Hart, Esq. of Scottsdale, Arizona. Respondent, Biltmore Equities and Securities.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milton Padowitz 92-00244 Name of Respondent Dean Witter Reynolds, Inc. For Claimant, Milton Padowitz ("Padowitz"): Robert E. Weisberg, Esq. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Bradford D. Kaufman, Esq. of Steel Hector & Davis. CASE INFORMATION Statement of Claim filed: 1/22/92. Claimant's Submission Agre

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00243 AWARD In che Matter of the Arbitration Between Diane L. Errickson Claimant vs. Shearaon Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant Diane Errickson, who appeared Pro Se, alleged that on September 24, 1990, her husband, John W. Errickson contacted Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Chow and Sui Chow, (Claimants) vs. A.S. Goldmen & Co., (Respondent) Case Number: 99-03050 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David Chow and Sui Chow, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, A.S. Goldmen & Co., hereinafter referred to as "Respondent", did not make an appearance in this matter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deanna Johnson, Clint A. Johnson, Karen L. Pushkin, Ralph V. Johnson, Glenda F. Johnson f/k/a Glenda Alsip and The Alsip Family Trust, Glenda Johnson Trustee, Claimants v. SunAmerica Securities, Inc. and Edwin J. Torres, Respondents Case Number: 05-02167 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara Barney vs. NASD #92-00239 Name of Respondents Bear Steams & Company Mitch Pindus OppenJieimer & Company For Claimant: Michael A. Bertz, Esq. of Los Angeles, California. For Respondents' (Bear Steam & Pindus): Anthony Pacheco, Esq., of McCambridge, DeixJer, Marmaro & Goldberg, Los Angeles, California. f- ,* F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00238 AWARD In the Matter of the Arbitration Between Mary Jane Hogue Claimant vs. Cowen & Company Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant Mary Jane Hogue, who appeared Pro Se, alleged that her Account Executive R. Julian Robinson, former Vice President of Respondent Cowen & Company, de

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00237 AWARD In Che Matter of the Arbitration Between Debra A. Fetzich Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Thomas Butenhoff Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant, Debra A. Fetzich who appeared Pro Se, alleged that in February 1990 she contacted Respondent, Thomas

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE *92-00234 AKARD In the Matter of the Arbitration Between Anne E. Olsen Claimant vs. Thomas E. Hilldore Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant Anne E. Olsen who appeared Pro Se, alleged that in September 1986 she was introduced to Respondent Thomas E. Hilldore, Assistant V.P. of Inv