N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between r_ Richard Blackman & Co. Inc. Name of 3PF Holding Company George W. Stagg, Jr. Margaret Lynch 91-02992 * PUBLIC REPRESENTATION For Claimant Richard Blackman & Co. Inc.: Joseph McCaffrey of Richard Blackznan & Co., Inc. For Respondents GPF Holding Company, George W. Stagg, Jr. and Margaret Lynch: Respondents did not appear.

N.A.S.O. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between" Name of Claimant (s) Lyons F. Barker Name of Respondent(s) Shearson T^haan Button, Inc. National Aaaodation of SecurWea DeeJere, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 ' Case No. 91-02991 For Claimant, Lyons F. Barker ("Barker") : Louis H. Lang, Esq. of Calliacn f

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grant Carmichael TTEE, et al. 91-02987 Name of Respondents PaineWebber, Inc. Shearson Lehman Brothers, Inc. SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 25, 1992, Claimant Grant Carmichael TTEE, Merced Pathology Medical Group Pension/Profit SH Plan U/A/D 9/30/79 FBO

Arbitration JT.A.S.D. AWRRD MATICMAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Peter C. & Josephine G. Piraneo Lisa Anne Piraneo '"jangft" 1 ' 91-02815 National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX 1212) 858-4389 DeRand Invesfcnant Corporation R. Douglas Feet Dan R. Kiely United Gibralter Corp. Off Case Quetz

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. PUBLIC CASE #91-02373 AWARD In che Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. J. Alex Shaw Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August l, 1991, Claimant Dean Witter Reynolds, Inc., through their in-house counsel Dominick J. Dorata, Esq., alleged that Respondent J. Alex Shaw stopped payme

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #91-02232. AWARD in the Matter of the Arbitration Between Fred J. and Christina Goehner Claimants va. A.G. Edwards & Sons, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 22, 1991, Claimants, Fred J. and Christina Goehner, by and through Norman E. Goehner, alleged that they, informed Respondent A.G. Edwards & Sons, In

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Thomas Haverstock, Michael McCarthy Bradley Krey, and Richard Paulson vs. Name of Respondent/Third Party Claimant Citicorp Securities Markets, Inc. vs. Third-Party Respondent Donald Wallace 91-02032 (consolidated with 91-02239, 91-02038, 91- 02039) ITION OF PARTIES Claimants, Thomas Haverstock in case number 91-02032, Michael McCarthy in case numb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Linda M. Greenblatt 91-01644 Name of Respondent(s) Shearson Lehman Brothers, Inc. Kenneth C. Silva REPRESENTATION For Claimant Linda M. Greenblatt: David J. Molton, Esq., of the law firm of Molton & Meekins, New York, N.Y. For Respondent Shearson Lehman Brothers, Inc. ("Shearson") and Kenneth C. Silva ("Silva"): Brian F.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence E. Lee, MD, and Edward Alpert, MD, Trustees of the Allergy Clinic of South Macomb, PC, Employees Profit Sharing Trust 91-00993 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; David A. Stulberg REPRESENTATION For Claimants: Lawrence E. Lee, MD, and Edward Alpert, MD, Trustees of the Allergy Clinic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between, Name of Claimant Ruth E. Beck NO. 91-00981 Name of Respondents Edward D. Jones & Co. John Bachxnan Ronald J. Scariano RBPRBSKNTATIOH OP PARTIBS For Claimants: Ruth E. Beck appeared pro se. For Respondents: Cynthia Doria, Esq., Assistant General Counsel, Edward D. Jones & Co. CASE INFORMATICS Statement of Claim filed: March 26,