N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS IN THE MATTER OF THE ARBITRATION BETWEEN Name of Claimant Patricia Spencer vs. 92-03777 Name of Respondent U.S. Clearing Corporation REPRESENTATION For Claimant: Patricia Spencer appearing pro se. For Respondent: Thu^s J. McCabe. Esq. CASE INFORMATION Statement of Claim filed: November 5. 1992 Statement of Reply filed on January 13. 1993 Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Dana L. Mago NASD Arbitration No: 92-03726 °f Respondents Shearson Lehman Button, Inc. Joseph Ulloa REPRESENTATION For Claimant: Stanley R. Raskin, Esq. - Ward, Gaunt & Raskin - Torrance, California For Respondents: John R. Lottus, tsq. - KCCMU f oung & Logan - Long Beach, California CASE INFORMATION Statement

N.A.S.D. AWARD MATTGNAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Harold Rostow Name nf NASD Arbitration No. 92-03691 Prudential Sacurit-iea -Incorporated William Creedon ..„,.•",-, RgPBHSgMTATIQN For Claimant: Harold Rostow, Esq., Encino, California and I. Reza Gharakhani, Esq., Law Offices of Andrew K. Kim, Los Angeles, California . ... . . For Respondent^;; Prudenf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) William E. Frantz 92-03672 Name of Resoondentf s~> A.G. Edwards & Sons, Inc. Pierce Hammond For Claimant: Daniel I. Maclntyre, Esq. of Wilson, Strickland & Benson, P.C. For Respondents: Clay M. Grumke and Stephen G, Sneeringer, Esqs. of A.G. Edwards & Sans, Inc. CASE INFORMATION Statement of Claim filed: October 29,1

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James Messenger and Lois Messenger, (Claimants) vs. Biltmore Securities, Inc., Rand Alan Heckler, David Ledoux, and FAS Wealth Management Service, (Respondents) Case Number: 99-02295 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, James Messenger ("J. Messenger") and Lois Messenger ("L. Messenger"), hereinafter collectively referred to as "Claimants": Paul T. V

M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAL! In the Matter of the Arbitration Between Name of Claimants Orville M. and Shirley G. Tucker Name of Respondents Olde Discount Corporation Jeffrey R. Donaldson tff*'?^^,? 'j f ^' NUV £'- FU AR 92-03634 NOV 22 1993 FL ARBITRATION REPRESENTATION •— • For Claimants. Orville M. and Shirley G. Tucker ("the Tuckers"): pro se. For Respondent. Olde Discoun

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Io the Matter of the Arbitration Between Name of Claimants Herbert and Debra Bailey 92-03624 Name of Respondent IDS Life Insurance Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on October 27. 1992. Claimants Herbert and Debra Bailey, who appeared Pro Se. alleged that Respondent IDS Life Insurance Company, by and through thei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene Caputo 92-03310 Name of Respondents Michael Janik Philip Gratz Peter Cardillo " For Claimant Eugene Caputo ("Claimant"): Francis M. Correll, Jr., Esq. of the law firm of Klehr, Harrison, Harvey, Branzburg & fillers. For Respondent Peter Cardillo ("Cardillo"): Mr. Cardillo represented himself. For Respondent Micha

PUBL/C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yeao-Nan Hsieh Shin-Chyi Hsieh 92-03285 Name of Respondent Pacific Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 29, 1992, Claimants Yeao-Nan Hsieh and Shin-Chyi Hsieh, who appeared Pro Se, alleged that Respondent Pacific Brokerage S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Regan Insurance Company Deferred Compensation Plan Case No. 92-03265 Name of Resoondent(s) Securities Service Network Inc. Gustav J. Mallas For Claimant, Regan Insurance Company Deferred Compensation Plan ("the Regan Plan"): Leonard Samuels, Esq. of Berger & Shapiro, P.A. For Respondent, Securities Service Network, Inc. (