N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) ^J -- s 1 : >r : Catherine Ferrari • : i 88-0309 Name of 8/ Prudential-Bache Securities Inc. •' Joseph Ledgwich Barbara Sherman In a claim filed with the NASD on or about October 4, i3«L Catherine Ferrari ("Ferarri") alleged that Prudential-Bache Securities, IflfrV ("Pru- Bache"), Joseph Ledwidge

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Name of C!lalmarvt' 1 (g] Leonora Resnick CASE 188-03097 Margaretten Financial Group Ellen Margaretten Huierman Securities Corp. Michelin & Company, Inc. Paul E. Michelin In the Matter of the Arbitration Between Name o Ruth Rosen CASE #88-03835 of Resnondentfa) Len Margaretten Margaretten Financial Group Hubennan

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Dan Redrick Gladys R. Queen Claimants vs. Preston A. Spears Bay City Securities, Inc. Respondents AWARD #88-03094 Case Summary This proceeding was commenced by Don Redrick and Gladys R. Queen against Preston A. Spears and Bay City Securities, Inc. arising from the sale and purchase of certain securities during 1987. Claimant alleged that the R

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Igor Vizelberg Case No. 99-02475 Names of Respondents Lakeside Trading a/k/a Russell Investment Thomas Griswold Russell J.B. Oxford & Company REPRESENTATION OF PARTIES For Claimant: Alan R. Sacks, Esq. of Sacks & Raines, New Orleans, LA. For Respondent J.B, Oxford & Company ("JBO"): Cynthia M. Schliendl, Esq. of Miller Milove & Kob, San Dieg

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Donald E, and Sophia S. Godfrey Claimant(3) vs, AWARD 88-03089 Bear Stearns & Co. and William Welsh Respondent(s) The Arbitrator, George R. Freund, selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on September 21, 1988 and D

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between 1) Moses vs. Jefferson International Investment Company and Jeffrey Bohl (88-03088) 2) Brian Macdonell vs, Jefferson International Investment Company and Jeffrey Bohl (88-03335) 3) Betty Oavis vs. Jefferson International Investment Company and Jeffrey Bohl (88-03096) Claimant Respondent Claimant Respondent Claiman

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) SALLY ROJAS, ) Claimant, ) ) Case #88-03086 vs. ) Award ) PROFILE INVESTMENTS, CORP., ) ALAN BESHANY, ALVIN ROSENBLUM, ) STANLEY LEVIN, MICHAEL SEGAL and ) GREGORY MARHOLIN. ) Respondent ) ) Heard before the members of the Arbitration Panel: Bruce J. Barman, Esq. Mr. Leonard E. Pacun Mr. Samson Silberman CASE SUMAMRY

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Colin S. Brady Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Shirley M. Goehring Respondents Case #88-03083 Award CASE SUMMARY This proceeding was commenced initially on October 4, 1988 by Claimant, Colin S. Brady ("Brady"), Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill Lynch") and Shirley M. Goehring ("Goehring")

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between ) Claimant^) ) Respondent(s) ) vs. AWARD CASE NO. S8-030&Z- SUWARY OF ISSUES This case was filed g>o uj't^ "K*. vJ +0 g7 \J (T S ^6 Li. DAMAGES AND RELIEF REQUESTED (.£ agxwv. o->vc£ McinjuJCLJ- d.auvvjaMi^s 5? ? 7 " " j fa-4 LJULAjk-L d. (LLa ry^gA &Ji 0\ DAMAGES AND RELIEF AWARDED On •fJuA-A.u.ft^u Z.%

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Larry E. & Anna R. Stefonic Claimant(s) V3. 88-03081 Richard Howell, Piper, Jaffery & Hopewell, Inc., Larry Bull, and Richard Howell Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimants Larry E. & Anna R. Stefonic alleged that Respondents Richard Howell, Piper, Jaffery & Hopewell, Inc., Larry Bull, and Richard Howell misrepresented