N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Estate of John Claire Converse 94-04727 Name of Respondent Robert (Elemer) Sexton REPRESENTATION For Claimant: The Estate of John Claire Converse ("Converse"): J.M. Guarch, Jr., Esq. of Aran Correa & Guarch , P.A. of Coral Gables, Florida. For Respondent: Robert (Elmer) Sexton ("Sexton"): Leo McShane, Esq. of Miami, Florida

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Anela Angeletti 94-05506 Name of Respondent^ Mutual Services Corp Bruce E. Winter REPRESENTATION For Claimant: Myron S. Dunay, Esq. of Myron S. Dunay, P.A., Delray Beach, FL. For Respondent: James M. Kaplan, Esq. of Wilson, Elser, Moskowitz, Edelman & Dicker, Miami, FL. CASE INFORMATION Statement of Claim filed: D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Universal National Bank 94-04910 Name of Respondents Marcus, Stowell & Beye Government Sec. Marcus, Stowell & Beye Inc. Meridian Securities Inc Philip Boyd Name of Third-Party Respondents George Feldenkreis Moises Chorowski Gary W. Dix A.D. Fuller Larry Perl Peter E. Ryan S. B. Topf REPRESENTATIO

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Si Fine Case No. 98-04877 Name of Respondent Metropolitan Life Insurance Company REPRESENTATION OF PARTIES For Si Fine ("Fine"), hereinafter also referred to as "Claimant": H. Mark Vieth, Esq. of Tilghman & Vieth, P.A., Miami, Florida. For Metropolitan Life Insurance Company ("Met Life"), hereinafter also referred to as "Respondent": Allan H. We

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard T. and Virginia M. Stockton, Claimant v. Baxter, Banks & Smith, Ltd, Aaron Capital, Incorporated, Kevin John Ruggiero and Francis Martin McDermott, Respondents Case Number: 99-03009 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Richard T. and Virginia M. Stockton ("Claimant"): For Baxter, Banks & Smith, Ltd. ("BBS") and Francis Marti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Conrad Wertheim and Frances Wertheim Case No. 92-02248 Name of Respondent(s) Legg Mason Wood Walker, Inc Charles B. Lundin REPRESENTATION For Claimants, Conrad and Frances Wertheim ("the Wertheims") Patricia Shub, Esq. of Patricia A. Shub, P. A. For Respondents, Leg Mason Wood Walker, Inc. ("Legg Mason") and Charles Lund

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harrison S. Glancy, Individually and as Trustee Irma Lucas Glancy, Individually and as Trustee NASD Case Number 92-02464 Name of Respondent^ Shearson Lehman Button, Inc. Herbert M. Greenspon For Claimants, Harrison S. Glancy and Irma Lucas Glancy, Individually and as Trustees ("the Clancy's"): William T. Kirtley, Esq. an

N.A.S.D, AWARD NATIONAL ASSOCIATION Of SECURITIES DEALERS In die Matter of the Arbitration Between Name of Ci Jack & Bernice Dimmer Case No, 92-00360 Adler Financial Management, Inc. Jackson L. Adler Claimants, Jack and Bernice Dimmer ("the Dimmers'): PJB §g. For Respondents, Adler Financial Management, Inc. ("Adler Financial") and Jackson L. Adler ("Adler"): Anthony S. Paetro, of the Law Offices of Anthony S. Faetro, Esq. CASE INFORMATI

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Fred C. Hammer Marlene Whitaker 92-00982 Name of Respondents') PaineWebber, Inc. William J. Hampton Florencio Otto Busot For Claimants, Fred C. Hammer and Marlene Hammer ("the Hammers"): Marina Shank-Klein, Esq. For Respondents, PaineWebber ("PW") and Florencio Otto Busot ("Busot"): Bennett Falk, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Edward D. & Lillian M. Woycik 92-00804 Name of Respondents') Mark Alibaugh REPRESENTATION For Claimants: Edward D. and Lillian M. Woycik ("the Woyciks".;: Mark A. Tcppcr. Hsq. For Respondent: Mark Alibaugh ("Alibaugh"): Edward J. Marko, Esq. of Marko & Stephany. CASE INFORMATION Statement of Claim filed: March 6, 1992. C