N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Manuel T. Miguel 94-01405 Name of Respondents J.W. Bullard Co.. Inc. Steve Ropas Lillian Vinci CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 13, 1994. Claimant Manual T. Miguel, who appeared pro se, alleged that Respondents J.W. Bullard & Co.. Inc. ("IW"). Steve Ropas (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Daisy Wilson & The Estate of Emma Grant 94-01401 Name of Respondents') Marc Jay Berman Aragon Financial Services, Inc. REPRESENTATION For Claimants Daisy Wilson ("Wilson") and the Estate of Emma Grant ("Grant"): Russell C. Silvergiate, Esq. of Dickenson, Murdoch, Rex and Sloan of Boca Raton, Florida. For Respondent Marc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si 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(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(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

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Robert Ohlman, Todd Ohlman, and Scott Ohlman and 01-03030 Troy, Michigan Tucker Anthony, Inc., and Karl P. Kilroy REPRESENTATION OF PARTIES Robert Ohlman, Todd R. Ohlman and Scott Ohlman, hereinafter, collectively referred to as "Claimants" were represented by Steven B. Caruso, Esq., Maddox, Koeller, Hargett & Caruso, New York, New York. Tucker Anthony Incorporate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantls^ 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(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(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 In the Matter of the Arbitration Between aift of Victoria M. Eastus 94-01362 ty«me of Respondent 8 L. P. Charles & Goings, Inc. Betty J. Davis CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 11, 1994, Claimant Victoria M. Eastus, who appeared pro se, alleged that Respondents L. P. Charles & Goings ("LP") and Betty J. Davis ("Dav