N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George A. Finn Award vs. #93-03032 Name of the Respondents First Albany Corporation and Patrick J. Lane REPRESENTATION For the Claimant, George A. Finn: Edward R. Wiest, Esq. of Tarlow, Breed, Hart, Murphy & Rodgers, located in Boston, Massachusetts. For the Respondents, First Albany Corporation and Patrick J. Lane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Norman H. Schwichtenberg Mary R. Schwichtenberg NASD Arbitration No. 93-03028 Name of Resoondent Painewebber. Inc. Moe Beren REPRESENTATION For Claimants: R. Jeffrey Kelleher, Esq. - California International Law Chambers, San Diego, California For Respondents: Scott M. Ratchick, Esq. - Painewebber, Inc., Los A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Kissi 93-03025 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson Charles W. Anderson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 3, 1993, Claimant David Kissi, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant^ Thomas H. Stull NASD Arbitration v. No. 93-03022 Name of Respondents) Prudential Securities, Inc. REPRESENTATION For Claimant: L.B. Chip Edleson, Esq., Gray, Cary, Ware & Freidenrich San-Diego, California For Respondent: Peter Brown Dolan, Esq., Morgan Lewis & Bockius Los Angeles, California CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Nancy Rampy 93-02907 Name of Respondents Brokers Investment Corporation, Bruce Hartberg Dan Steinberg, and Norman Shubert OF PARTIES Claimant was represented by Rebecca E. Bender, Esq. of Rebecca E. Bender & Associates, Minneapolis, Minnesota. Respondents, Norman A. Shubert, Brokers Investment Corporation, and Daniel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Arnold H. Kagan 93-02905 Name of Respondent A.F. Best Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1993, Claimant Arnold H. Kagan, who appeared Fro Se, alleged that Respondent A.F. Best Securities, Inc., through its representative Marie Lombardo, misreprese

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary H. Hoberg 93-02964 Name of Respondents Shearson Lehman Brothers, Inc. Cheri Maggio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 27, 1993, Claimant Mary H. Hoberg, who appeared Pro Se, alleged that she conveyed to Respondent Cheri Maggio of the Respondent firm Shearson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wayne Jackson 93-02882 Name of Respondents Olde Discount Corporation; John K. Koczara REPRESENTATION For Claimant: Wayne Jackson ("Jackson") was represented by Joseph H. Spiegel, Esq. of Southfield, Michigan. For Respondents: Olde Discount Corporation ("Olde") and John K. Koczara ("Koczara") were represented by Mark L.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Virginia Black and 93-02874 Name of Respondent John Tomlinson REPRESENTATION OF PARTIES Virginia Black ("Claimant") appeared pro se. John Tomlinson ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about July 23, 1993. Submission Agreement of Claimant Virginia Black was signed on

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-02629 Paula Q.Byrd Paula Q. Byrd Money Purchase Plan DTD 4/12/00 Names of the Respondents Hearing Site: Atlanta, Georgia Morgan Stanley Dean Witter, Inc. Kent Nuzum REPRESENTATION OF PARTIES For Paula Q. Byrd and Paula Q. Byrd Money Purchase Plan DTD 4/12/00, hereinafter referred to as "Claimants": Robert H. Putnam, Jr., Esq., Atlanta, Georgia.