N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Earie E. & Patncia A. Kruggel, Raymond J. and Jane M. Daul. Eagle Plumbing Profit Trust, Eagle Plumbing Company NASD Arbitration NASD #91-01330 Name of Respondents Prudential-Bache Securiites, Inc. PaineWebber. Inc., Marshall J. Field REPRESENTATION For Claimants: H. Thomas Fehn, Esq., of Fields, Fehn & Sherwin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James R. Hogg Case No. 99-02268 Name of Respondent Edward D. Jones & Co. REPRESENTATION OF PARTIES For James R. Hogg, hereinafter referred to as "Claimant": L. Jerome Stanley, Esq. of L. Jerome Stanley, P.C., Baton Rouge, LA. For Respondent Edward D. Jones & Co. ("Edward Jones"), hereinafter referred to as "Respondent": Lisa A. Nielsen, Esq. of

N.A.S.D. NWXCMRL AssociancN OP sfcuimihs DEALERS In the Matter of the Arbitration Between of Shnrman & LlTvIa P. Mideell, individually and as Trustees Jexone, Luana & Stacey Mickell, Trustees et al. Dolores Micfcsll vs. HMD #91-01296 Bear Steams & Coageoy, Inc. Arthur Mishlar For claimants ; WHliam F. Davis, Ssq. , Pacific Palisades, FOOT Respondents: Antbooy Pacbeoo, Esq., MoCaotoidge/ Deixler/ itanoaio & Goldberg 1 / Tioa Angel

N.A.S.D. AKAKD NAHCNAL ASSOCIftlTCH OF SHJUklTitS DEALERS la tbe Matter of the Arbitration Between Mariaa Hutzley Curtis W. Hutzley II Rosemary E. Butzley vs. 91-01247 Name of Respondent < s) Wilshire Discount Securities Eugene Roach Brie Roach For claimants: Ridd. C. Ring, Esq., Los Angelas, Califcaaaia For ReepoDdentss WlUhire Discount Securities & Eugene Roach: Eugene Roach For Respondent Eric Roach: Brie Roach Statement of Hal

N.A.S.D. AWARD ASSQCIATXai 0? StUmi'mS DEALERS In the Matter of the Arbitration Between Name of Claimant Eleanor De rribm NASD Arbitration vs. No. 91-00913 Name of Rf"*! "Aidants I&lttOtt, XQC. Michael Faraii For Claimant: David C. Hinshsw, Esq. - Gansinger t*4 *"»*««•» Buckley & Schau For Bespondent: Michael M. Glass, Esq. - Keesal Young & Logan Statonaat of Halm £Ued: March 21, 1991 Claimant's Submission Agreanent signed ons March

N.A.S.D. -AWARD SATICNAL ASSOCIATION OF SECnRITTES DEALERS In the Matter of the Arbitration Between of f San Jose Central Seventh Day Adventist Oairch vs. 91-00814 Name of Respondent (a) PaineWebber, Inc. Jobn T. Moore For Claimant: ftferfc H. Pierce, Esq., Olson ft Pierce, San Jose, California. For Respondents! Judy Louie, Esq., PaineNebber, Inc., Los Angeles, California Stateuct of «^»«^ filed: Much 13, 1991 dainmt's Submission Agv

MATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration- Between ) ) Barney Spielman ) Claimant } ) AWARD vs. ) ) NASD *91-00764 Piper, Jaffray & Hopwood, Inc. ) Robert Cameron j Respondents ) __ ) REPRESENTATION Claimant was represented by Craig Palmquist, Esq., Seattle Washington. Respondents were represented by Joseph E. Delaney, Esq., of Foster Pepper & Shefelman, Seattle, Washington.

NASD Arbitration No. 91-00500 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimant Ivan Freistat Name of Respondent Michael Milken REPRESENTATION For Claimant: John T. Heaney, Esq. - Los Angeles, California For Respondent: Katherine M. Elwood, Esq. and Frank Rothman, Esq., Skadden, Arps, Slate, Meagher & Flom - Los Angeles, California CASE INFORMATION Statement of

N.A.S.D. AKRRD ASSOCIftTIQN OP SECDROTES DERUSRS la the Matter of tba Arbitration Between Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-00485 a Pierce Refines, Tnc« & MKB&tetta 6 Qo. David T. Marantatte, HI Baq. and David K. Saslick, Bsq. Charl** j. ibcerl. David T. Jfarantetta, Hi ("liarantatta") and Itorantette &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between tjamgof! Plaimanf Michael R. Thomas 90-03243 Griffin Financial Services James Peters Ronald. Code* For Claimant: For Respondents: Michael L. Paule of Investors Arbitration Services, Woodland Hills, California. Donald B. McNelley, Esq., Schlecht, Shevlin & Shoenberger, Palm Springs, California. Statement of Ci^ filed: November 16