N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant The Trustees of the Building and Construction Laborers Local Union 310 Pension Fund, Trustees of the Building and Construction Laborers Local Union 310 Health & Welfare Fund, and Trustees of the Building and Construction Laborers Local Union 310 Supplemental Unemployment Benefits Fund 93-04096 Na

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Francine Steinberg 93-04087 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimant Francine Steinberg ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, locate

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Thomas F. Healey 93-04077 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimant Thomas F. Healey ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Use Siegler 93-04064 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 6, 1993, Claimant Use Siegler ("Claimant"), through her representative, Jill Levi, Esq., of Feltman, Karesh, Major & Farbman, located in New York,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David and Susan Kelly 93-04058 of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1993 Claimants David and Susan Kelly ("Claimants"), through their representative, Donald F. Schneider, Esq., of Feltman, Karesh, Major &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Clinton B. and Anita Clark 93-04054 Name of Respondents The Chicago Corporation and William P. Dugan Representation of Parties Claimants, Clinton B. and Anita Clark ("Claimants") were represented at the hearing by Peter J. Herman, Esq. of Peter J. Herman, Ltd., Chicago, Illinois. Respondent, The Chicago Corporation ("TCC")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sharon M. Lasker 93-04048 Name of Respondents Fahnestock & Co., Inc. M. Owen Lasker REPRESENTATION For Claimant: Charles J. Engel, Jr. Esq., Syracuse, New York. For Respondents: Charles E. Padgett, Esq. of Fahnestock & Co. Inc. North Conway, New Hampshire. CASE INFORMATION Statement of Claim filed: October 4, 1993.

K.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES PEALERS. INC. In the matter of the Arbitration Between Name of Claimant(g) Maria Fidler, Michael Fidler, Jonathan Fidler, Harriet Fidler, Six Percent Management Company, also known as Robert Fidler, and Nicky Blair, Limited, a California Limited Partnership NASD Arbitration No. 93-04044 Name of Respondent(s) Bateman Eichler, Hill Richards, Inc. Noel R. Eichenlaub RgPRgfigKTATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Carmela Lauretta East Coast Capital Corporation Award # vs. 93-04040 Name of Respondent Richard Kaner REPRESENTATION For Claimants, Carmela Laurella and East Coast Capital Corp. ("Claimants"), T.R. Kelly, Esq. from the law firm of Epstein, Becker and Green located in New York, New York. For Respondent, Richard Kaner ("

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: - 7\Tprr|T-iPT" 01-02791 Scott and Kristine Frohman nfthf ffegprmrlpnf H^PTI^S iSl'l?' Washington, D.C. Ameritrade, Inc. OF Claimants, Scott Frohman ("S. Frohman") and Kristine Frohman ( :i K. Frohman"), hereinafter collectively referred to as "Claimants": Donald J. Crawford, Esq., Anorney at Law, Rockville, MD. Respondent, Ameritrade, Inc. ("Ameritrade"),