N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Eliahu Ben- Shmuel 91-01387 Name of Respondent s) Shearson Lehman Brothers. Inc. REPRESENTATION For Claimant. Eliahu Ben-Shmuel ("Ben-Shroud"): Jeffrey Crockett, Esq. of Coffey, Aragon. Martin & Burlington. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson"): Harry Walters, Esq. of Shearson. CASE INFORMATION

N.A.S.D.JWARD HATICKAL ASSOCQUCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Thorn* B. Draatea _ June M. Drenten, JTNROS VB. 91-01356 Kane of Reaxndart(a) Batensn «M*M«p f Bin Richards, Inc. Dsvid T. ItoCuna For RMpcixkDtst ThOBBS M* Adao», Esq., Tanning Adaas & Lavi, Msrlaa del Rfl// Statanoat of nalm filed: April 30, 1591. ^* J^ril 22, 1991. Joint Statenaat of Jtoawar filed by PaapcffvVntai Jlily 3, 1991.

N.A.S.D. AWARD NAXICNAL ASSCCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Betveen Edward lannelli vs. NASD Arbitration NO. 91-01285 j. Alexander Securities, Inc. For Claimant: H. Ttaooe Fehn, Esq., of Fields, Fehn & Sherwin For RaBpondent: Ralph B. Perry, ill, Esq., of Graven, Perry, Block, Brody & Quails CASK Statement of Claim filed: April 23, 1991 Claimant's Submission Agreement signed on: April 8, 1991 Statement

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: I. Spear Leeds & Kellogg vs. Bullseye Securities, Inc. II. Bullseye Securities, Inc., vs. Spear Leeds & Kellogg, Pasquale Schettino, Gary Goldring, Robert Lewis and Lawrence Securities, Ltd. III. Pasquale Schettino vs. Joseph and Eva Roffler Case Number: 99-02963 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Bullseye Securities, Inc., ("Bullseye"), and J

N.A.S.D. AWARD NRTIONAL ASSOCIATION OF SECURITIES DEALERS »ri:itr?.tior. Jack & Naomi Cohan vs, 91-01207 of Respondent f s\ Kennedy, Cabot & Company Marie O'Mahoney For Claimants: Ridci C. Ring, Esq., Loe Angeles, California. For Respondents: George Kupper, Esq., Kennedy, Cabot & Company, Beverly Hills, California. C&SK Statement of Claim filed: April 16, 1991 Claimants' Submission Agreements signed: Jack Cohen - April 9, 1991 Na

N.A.S.D. ASSOCIATION OP {jtfJjm 1 * 1 * ^ DEALERS In the Hatter of the Arbitration Between of Dahlquist-Zube aka Mft'i^'j"? Dahlxjuist va. NASD #91-01144 Ntoe of Respondents Batanem Eichler, Hill Richards, IDC. Harry Chan, Jr. For For Raepondentst A. Brad Busscber, Esq., Kanper Securities Group, Inc., Statement of Halm filed: June U, 1391 AgrceoioQt sl^oedt Mcrcli 30, 1991 Joint Stateoent of AESMBT filed: Decedser

Arbitration N.A.S.D. AWARD NRHCHAL ASSOdATICN OF SBCDRnTES DEALERS In the Hatter of the Arbitration Between Carlos & Maria Uribe Name ot Respondents Shearson T^hn»m Brothers, Inc. Kidder, Peabody & Co., Incorporated Joseph Wbf chuck Gabriel Cepero Pat Guadagno National Association ot Securities Oeaten. inc. NASD Financial Center 33 Whitehall Street New York. ;j.Y. 10004 FAX (212) 858-4389 91-01098 For Claimants: S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne Marinelli Joseph V. and Marie T. Carone Billie J. Chez Name of Respondent/Third Party Claimant Stephen Browere Name of Third Party Respondent Prudential Securities, Inc. d/b/a Prudential-Bache Capital Funding Consolidated No.s 91-00921 91-00922 91-00924 REPRESENTATION OP PARTIES Claimants, Joanne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: I. Spear Leeds & Kellogg vs. BulJseye Securities, Inc. n. Bullseye Securities. Inc., vs. Spear Leeds & Kellogg. Pasquale Schettino, Gary Goldring, Robert Lewis and Lawrence Securities, Ltd. III. Pasquale Schetlino vs. Joseph and Eva Roffler NASD Case Number: 99-02963 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Bullseye Securities, Inc.. ("Bullseye"), and Joseph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants INDUSTRY Vantage Securities. Inc. 92-00080 Name of Resoondent(s) Stuart Bockler For Claimant: Randall L. Parry, Esq. Sole Practitioner, Rutherford, New Jersey. For Respondent, Martin E. Kariinsky, Esq. of Camhy, Kariinsky & Stein, New York, New York. CASE INFORMATION Statement of Claim filed: January 9. 1992. Claimant'