N.A.S.D. AMRRD NKETCNRL ASflQCIflTICK OF SECORTriES DEALERS In Che Matter of the Arbitration Between Name of Claimant (B) William Steel Betty Jo Steel vs. 90-03377 Bateaux Bichler, Bill Richards, Inc. Louis B. Bvnes, II For Claimants: Dennis M. Qrady, Esq., San Diego, Cali-cmia. For Respondents: Craig B. Joxgensen, Esq., Kindel & Anderson, Los Angeles, California. Statanent of n«"hn filed: No 29, 1590 Joint Stw nl

Arfcttntttn ASSOCIKTIQN OF SECURITIES DEftLEBS " 33 Whitentrt StrMt in tne Matter or the Aroitration Between N«w rone. N«W York ' Shearson Lehian Hutton, Inc. 90-03375 of p * William Garner For Claimant: Victor A. Machcinski Jr., Esq. of shearson Lehman Brothata, Inc. For Respondent: Kevin R. MsDernctx, Esq. of Schottenstein, 2ox & IMnn Statement of Clfiim filed: November 27, 1990. Claimant's Submission Agreement signed on: Novem

N.A.S.D. .AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between -1; Sophia Zubareva 90-03368 Name of Respondents; Shearson Lehman Mutton, Inc. David D. Hapworth For Claimant: David L. Kagel, Esq. of Kagel & Steiner. For Respondent Shearson Lehman Mutton: David M. Bartholomew, Esq. of Keesal, Young & Logan. Respondent David D. Hepworth did not have an attorney of record. Claimant filed a Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimant George J. Schmitt No. 90-03366 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OP PARTIES For Claimant: David B. Love, Esq. of Winston & Strawn, Chicago, Illinois. For Respondent: Curt H. Mueller, Esq., Vice President & Senior Attorney, Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim file

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernard E. Lloyd, (Claimant) vs. Golden, Lender Financial Group, Inc., Foster Gibbons and Michael Park, (Respondents) Case Number: 99-02219 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bernard E, Lloyd, hereinafter referred to as "Claimant": James Dolan, Esq., a sole practitioner, Garden City, NY. Respondents, Golden, Lender Financial Group, Inc. ("

Arbitration H.A..S.D..-AWARD ASSOdftTICN OF SECURITIES In CUB Matter of the Aitoitratian Betwe^ Kane of PaineWebber, Inc. 90-03358 Irene Wetbel National Auoc*oon SacunttM Oaann. » 'JASD Financai C«n»e ".2 Whrtenwi Street 'i7,2^ 858^389* For Claimant: Edward G. Werner, Esq., in-house Counsel for PaineWebber, Inc. For Respondent: Pro se. case nsraKnaj Statement of Claim filed: N&ventoer 27 1990. Claimant's Sutmissiaa Ag

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc. and 90-03357 Bradford J. Long PMHTES A. G. Edwards & Sons, Inc. was represented by Michael D. Gates, Esq. of A. G. Edwards & Sons, Inc, St. Louis, MD. Bradford J. Long did not appear. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 27, 1990, A. 6.

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David L. Sauer and Claimant 90-03355 Raymond James & Associates, Inc. Robert Collins Respondents JL OCT2JW AftSmujtON-OilCAfGO OP PXRFIES KKKtraH Claimant David L. Sauer was pro se. Respondents Raymond James & Associates, Inc. and Robert Collins were represented by Kevin A. Carreno of Raymond James & Associates, St. Petersburg, F

N.A.S.D. AWARD NATICNAL ASSOCIATION OF bajukims DEALERS In the Matter of the Arbitration Between Name of Claimant (a) John Hictanan as Trustee for **^ John Hldonan Revocable Living Trust Douglas T. Hidoaan Marguerite C. Kidman Jans Marsh Harry H. Mane of Respcndaat (a) PainaMebber, inc. Case Mo. 90-03354 For dainants, John Hidonan as Trustee for the John "l"Hwi Revocable Living Trust ("John Kidman'), Douglas Hidonan, Marguerite C

N.A.S.XT. AMRRD NATICNRL ASSOCianCM OF SECURITIES DEALERS In the Matter of the Arbitration Between. NsneofCladinant Michael E. labanowsJci 90-03333 Kidder, Peabcdy & Co., Incorporated and Roger B. Webb Poor Claimant: Daniel A. Ball, Esq. For Respondent Kidder. Peabody & Co., Inc.: George C. CShell of Counsel, Kidder, Peabody & Oo. , Inc. For Respondent Roger B. Webb: Mr. Webb was not represented by counsel and did not attend the bearing.