N.A.S.D. AWRRD NRTIQNRL ASSOdATICN 0? fig^jy I 'I'nas In the Matter of tba Arbitration Between. Q£ n Roger Marsfautz, Trustee for Roger Marshutz Ratixeaent and Profit fih«T-foj Flan NASD #91-01222 Smith Barney, Harris Dpham & Co., Inc. Say Shuwarger Fear daisant: Lionel Z. Glancy, Esq., Beverly Hills, California For Respondents: Scott E. Kreach, Esq., StaLth Bazney, Harris Djpbm & Go,. lac., Hew York, New York Statement of r***™ file

BEFORE NASD DISPUTE RESOLUTION, INC. In the Matter of the Arbitration between: GARY NEIDERT and JOHANNA NEIDERT Claimants, and NASD Arbitration No. 00-01053 Hearing Location: Milwaukee, Wisconsin INSTITUTIONAL EQUITY CORPORATION F/K/A REDSTONE SECURITIES, INC. and PETER A. BOUDOUVAS Respondents. AWARD REPRESENTATION OF THE PARTIES Claimants Gary Neidert and Johanna Neidert were represented by Michael H. Schaalman, Esq.* Quarles & Bra

N.A.S.D. AWARD NKTICHAL ASSOdRnCH OP SBCDR1T1ES DEALERS In the Matter of the Arbitration Between Name of Claimants J.J. Ccnsulting Corporation vs. Name of Respondent/ Batecoan p."t< *m«*r t Hill Richards, Inc. vs. NASD Arbitration Mo. 91-01194 Lee Edgar HUd.es Mark Richard Miller Poor f r ta< '"»ii* i *tt Haory N. Janool^ Esq., T^M« Ancfeles r For Respondent: Jon L. EawinaJci, Esq., yindel & Anderson, Lo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between BVin Kelson, Aldo H. & n>n™ c . Nelson and Hazed H. Bappe Claimants Case #91-00782 Award Edwin Nelson v. Securities v. - CM* #91-00868 Award Aids H. & HrHrvi C. Nelson v. Landed Securities v. Allan Happe Landed Securities v. Cas«f*M-Q1100 Hftzel M. Kappe v. Allan Bappe Landed Securities la a --i«-»n» < m«* w

N.A.S.D. AWARD ASSOCIATICK OF SECURITIES DEALERS in the Matter of the Arbitration Between Dorothy Day Otis MASD Arbitration vs Mo. 91- 01060 Gregory Kovner ?or Claimant: Mr. Michael L. Paule - Investors Artoitranico. Services, lac. For Respondent: Mo Appearance Statement of < "i*->™ filed: April 4, 1991 Claimant'a Submission Agreement signed on: March 22, 1391 No Statement of Answer filed by Respondent, Gregory Kovner No Submission Agreem

N.A.S.D. AWARD >WTICNAL ASSOCIATION OF SECURITIES DEMURS In the Matter of the Arbitration Between Namg nf ClaJnaTTf I $ } Leonard Gerstei Sheila Garstel vs. ^gQ^^jJJ'vCtonsolicLated w j.th 90-03215 of Rp«nnnrtont-,g> Prudent- -inl-Pur-ho £at~irrj1-if»m t Inc. Filip isack For Claiinanta: Leonard Gerstei of 591 Cervantes Drive, Green Valley, NV 89014 For Respondents: Christopher P. Trapani, Esq. of Prudential-Bache

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant. Alan E. Goehring and 92-00082 Name of Respondents Brokers Transaction Services, Inc. and Southwest Securities, Inc. REPRESENTATION OF PARTIES Claimant Alan E. Goehring appeared pro se. Respondents Brokers Transaction Services, Inc. and Southwest Securities, Inc. were represented by Jerome S. Wade, Esq. of Southwe

N.A.S.D. MOffiD NATIONAL ASSOCIATION OF SJaJUklTUfiS DEALERS In the Matter of tha Arbitration Between ) of The Estate of Nathan B. Jacobs ) ) Case No. 92-00081 Name of Respondent(s) Dean Witter Reynolds, Inc. James B. Davis For Claimant, The Batata of Nathan B. Jacobs ("Jaooba"): William Scott, Esq. of Brooks, Pierce, MtrTiandnn, Bumphezy & Leonard. For Respondents, Dean Witter Reynolds, Inc. ("Dean Witter*) t and James Davis ("Davis")

N.A.S.D. ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Bloomfield Order vs. #92-00077 Name of Respondents Whale Securities Co., Inc. George J. Behling, Jr. For Claimant, John Bloomfield ("Claimant"), Joanne Rowland, Esq., located in New York, New York. For Respondent, Whale Securities Co., Inc. ("Whale Securities"), David Wagner, Esq., from the law Firm of Tenzer Green

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Phyllis Jean O'Reilly and 9240074 Name of Respondents The Mutual Life Insurance Company of New York MONY Securities Corporation. The Sharp Financial Group, Inc.. The Sharp Consulting Group, Inc. and Roger L. Sharp REPRESENTATION OF Claimant Phyllis Jean O'Reilly appeared pro se. Respondents The Mutual Life Ins