NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Tony DeMarco Nancy DeMarco Claimants NASD Arbitration No. 94-00786 v. Shearson Lehman Brothers Mark Buckman Respondents REPRESENTATION For Claimant: James A. Testa, Esq., Testa & Grady, Vista, California For Respondents: Ellen Slipp, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: March 1,1994 C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jean M. Parker vs. 94-00785 Names of Respondents John Hancock Distributors and Joseph C. Dault REPRESENTATION For Claimant: Jean M. Parker ("Parker") of Pentwater, Michigan, appeared at the hearing pro se. For Respondents: John Hancock Distributors, Inc. ("John Hancock") was represented at the hearing by Meigs M.

N.A.S.D. AWARD 1' YTIONAL ASSOCIATION OF SECURITIES DEALERS In tt a Matter of the Arbitration Between Name of Claimant/Counter-Respondent Charles Leon Deaton 94-00784 Name of Respondents/Counter-Claimants D.R. Hancock & Company, Inc.; Elise C. Tanner For Claimant/Counter-Respondent: Charles Leon Deaton ("Deaton") was represented by Scott P. Hendricks, Esq. and Cynthia A. Hagan, Esq. of Hendricks & Hagan, located in Carbondale, Illino

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant _ Jill Boekell 94-00781 Name of Respondents First Albany Corporation Maria J. Saulino Arthur T. Bernsohn REPRESENTATION For Claimant Jill Boekell ("Claimant") appeared Richard West. For Respondents First Albany Corporation ("FAC"), Maria J. Saulino ("Saulino") and Arthur T. Bernsohn ("Bernsohn"), (collectively referred

NASD Arbitration No. 94-00780 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between * Name of Claimant Carlynn H. Williams Name of Respondents Linsco/Private Ledger Corp. Eric A. Rudney Rudney Associates REPRESENTATION For Claimants: Morton Levy - Investors Advocates - Emeryville, California For Respondents: David J. Freniere, Esq. • LPL Financial Services - Boston, Massachusetts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Morgenstern, Claimant v. American Express Financial Advisors, Inc. and Marietta L. Johns, Respondents Case Number: 01-02953 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Russell G. Porter, Esq. Porter, Scott, Weiberg & Delehant Sacramento, California For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Maty M. Hisgen 94-00763 Name of Respondents') Prudential Securities Inc Demonic (Tom) Pierdomonici REPRESENTATION •""^"••^^^•"••"•'••^~' » Claimant, Mary Hisgen ("Hisgen") was pro so, f For Respondents, Prudential Securities, Inc. ("Prudential") and Demonic (Tom) Pierdomonici ("Pierdomonici"): Robert Saperstien, E

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Nubia International Corporation and 94-00759 of Resondent Inverworld Securities, Ltd. REPRESENTATION OF PARTIES Nubia International Corporation ("Claimant") was represented by Reese L. Harrison, Jr., Esq., Oppenheimer, Blend, Harrison & Tate, San Antonio, TX. Inverworld Securities, Ltd. ("Respondent") was represented by Edwar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Salvatore R. Cermto 94-00749 Name of Respondent GKN Securities Corporation REPRESENTATION For Claimant, Salvatore R. Cerruto ("Claimant"), appeared Nicholas K. Notias Esq. , Of Counsel to Rosenberg, Singer & Bienenstock located in New York, New York. For Respondent, GKN Securities Corporation ("Respondent"), appeared David S. Sm

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Colesi Limited NASD Case No. 94-00747 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION For Claimant. Colesi Limited ("Claimant"). C.W. Koenigsberger located in London. England. For Respondent. Dean Witter Reynolds. Inc. ("Respondent"), Bill Peterson, in-house counsel. CASE INFORMATION Statement of Claim tiled