N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kemper Securities, Inc. 94-01893 Name of Respondent Scott Andress REPRESENTATION For Claimant: Kemper Securities, Inc. ("Kemper") was represented by Michael A. Kraft, Esq. of Gomberg, Kane & Fischer, Ltd., located in Chicago, Illinois. For Respondent: Scott Andress ("Andress") did not appear. CASE INFORMATION Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) GKN Securities Corp. 94-01891 Name of Respondent(s) Kevin Spinelli CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 19, 1994 Claimant GKN Securities Corp. ("Claimant"), through its representative and in-house counsel, Katherine Nathan, Esq., alleged that Respondent Kevin Spinelli

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth Helm, Jr. vs. 94-01889 Name of Respondents Thomas James Associates, Inc. Glen Holbert David Peterson CASE INFORMATION In a claim filed with the National Association of Securities, Dealers, Inc. on May 19, 1994, Claimant Kenneth Helm, Jr., who appeared Pro Se, alleged that Respondents Thomas James Associates, Inc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Gaskins & Bemice L. Van Pelt 94-01883 Name of Respondents Emanuel & Company Thomas James Associates, Inc. Manlio Bastart REPRESENTATION For claimants Edward Gaskins ("Gaskins") and Bemice L. Van Pelt ("Van Pelt") (collectively referred to as "claimants") appeared Michael E. Silverman, Esq., Holmdel, New Jersey.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Isaac M. Levy, also known as Zaki M. Levy NASD Arbitration No. 94-01881 Name of Respondent(s) Merrill Lynch, Pierce, Fenner & Smith, Inc. Jay Gelbart REPRESENTATION For Claimant: Robert W. Blanchard, Esq., Blanchard, Krasner & French, La Jolla, California For Respondents: Stephen Young, Esq., Keesal, Young

NASD STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between PaineWebber Incorporated and 94-01880 Randall W. Roebuck AGREED ARBITRATION AWARD Claimant, PaineWebber Incorporated ("PaineWebber"), and Respondent, Randall W. Roebuck ("Roebuck"), hereby stipulate and agree to the entry of the following award in the above-captioned arbitration. CASE SUMMARY In the Statement of Claim, PaineWebber

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Krieger Family Trust, Milton Krieger, Trustee Claimant, v. NASD No. 94-01875 Paine Webber, Inc. and Dennis Ryan, Respondents. Representation For Claimant: Pro se, Beverly Hills, California For Respondents: Catherine Pratt, Esq., of Paine Webber, Inc., Los Angeles, California Case Information Statement of Claim filed: May 17,1994 Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Lan Fang Chen Names of Respondents William Fraser Your Discount Broker, Inc. Case No. 01-03072 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Lan Fang Chen ("Chen") hereinafter referred to as "Claimant": Randall W. Henley, Esq., West Palm Beach, Florida. For Respondents Your Discount Broker, Inc. ("YDB") and William Fraser (

ASSOCIATION OF SECURITIES DEALERS. In the matter of the Arbitration Between Name of .ClaJJni?nfc fa) Zeilberger Family Revocable Trust Ernest Zeilberger and Marilyn Zeilberger, Trustees NASD Arbitration No. 94-01872 ff flpn» of R^flppp^ient la) BA Investment Services, Inc. For Claimant: Ernest Zeilberger, Tarzana, California For Respondent: Arne D. Wagner, Esq. and Michael J. Halloran, Esq. , Bank of America NT&SA, San Francisco, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William DeMarkey 94-01870 Name of Respondent PaineWebber, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 18, 1994, Claimant William DeMarkey, who appeared Pro Se, alleged that Respondent PaineWebber, Inc., breached its fiduciary duty to him. Claimant further alleged that Resp