NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between * ^ Name of Claimant NASD Arbitration James Pritchard No. 94-01399 v. Name of Reapoqderyffi David Murray MarkFiiil Kennedy, Cabot & Company REPRESENTATION For Claimant: Adam D. Schneir, Esq., Investors Arbitration Services, Inc., Wopdland Hills. ! California For Respondent Kennedy, Cabot: George Kupper, Esq., JKennedy, Cabot & Co., Beverly H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERg. INC. In the matter of the Arbitration Between Name of Claimant(s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between of Claimant (s) El den Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(a) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Nortna Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s)_ Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jack & Irene March-Davison vs. NASD Arbitration No.94-01353 Name of Respondent Great American Securities, Inc. Bruce Bartholomew Willis Boyd REPRESENTATION For Claimant: Noel A. Obiora, Esq., Beverly Hills, California For Respondent Willis Boyd: Robert J. Spitz, Esq., Ontario, California For Respondent Great A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS » In the Matter of the Arbitration Between NameofCIaimantfs) Ernest & Betty LeDoulx 94-01352 Name of Respondentfsi Shearson Lehman Brothers, Inc. n/k/a Smith Barney Inc. Shawn P. Kelly Mark Willis CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on April 11, 1994, Claimants Ernest and Betty LeDoulx, who appeared Pro Se, alleged that R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Pauline "Scotty" Neilson NASD Arbitration No.94-01345 Name of Respondents Van Kasper & Company F. Van Kasper Thomas Bedford RFPRFSENTATION For Claimant: Beth EfAspedon, Esq., and J. Brittain Habeggar, Esq. of Fitzgerald Abbott & Beardsley - Oakland, California For Respondents: Peter J. Boutin, Esq., Julie L.Taylor, Esq. and Kelly