N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimaiU(s) Dolores G. Leist 93-02585 Name of Respondents) Daniel J. Foley John W. Irvine REPRESENTATION Claimant, Delores Leist ("Leist") appeared pro se. Respondent, Daniel Foley ("Foley") appeared pro se. Respondent, John Irvine ("Irvine") appeared pro se. CASE INFORMATION Statement of Claim filed: July 1, 1993 Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janette M. Corby, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Donald C. Korkow, and Richard M. Kenton, Respondents Case Number: #01-02624 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jeffrey A. Feldman, Esq. Law Offices of Jeffrey A. Feldman San Francisco, California For Respondents: W. Reece Bader, Esq. Susan L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or' the Arbitration Between Name or' Claimant) s) James F. Ash 93-02580 Name of Resoondent(s) James Shine F.S.G. Financial Services Group, Inc. REPRESENTATION For Claimant: Kenneth Rosenthal, Esq. of Brenner, Saltzman, Wallman & Goldman of New Haven, Connecticut. For Respondent F.S.G. Financial Services Group, Inc. ("F.S.G."): Bert Vladimir, Esq. of N. Babylon. N

NASD Arbitration No. 93-02568 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant's) Stan Millan Name of Respondent (s) Richardson Greenshields of Canada Limited Rod Docker RgPRESENTATION For Claimant: Stephen F. Boutin, Esq., Boutin - Gibson, Sacramento, California and Samuel Komhauser, Esq., San Francisco, California For Respondents: Harry A. Olivar, Jr., Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant R.C. Layne Construction, Inc. NASD Arbitration No. 93-02567 vs. Name of Respondents Jordan Shamah, Robert A. Freedman, Jordan R. Belfort, Kenneth S. Greene, Daniel M. Porush and Stratton Oakmont, Inc. REPRESENTATION For Claimant R.C. Layne Construction, Inc.: Brian Lowe and Adam Schneir, Esq. of Investors Arbitrat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gilder P. Yarn, Jr. & Marge Yarn 93-02533 Name of Respondents Chesapeake Securities Research Corp.; Dennis Roy Roth; Bear, Stearns Securities Corp. REPRESENTATION For Claimants: Gilder P. Yarn, Jr. and Marge Yarn ("Yarn") were represented by Gilder P. Yarn and Bill Cunningham, St. Louis, Missouri. For Respondents: Ches

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas and Concetta Marasa 93-02532 Name of Respondents Prudential Securities Inc Lawrence Durso REPRESENTATION For Claimants Thomas and Concetta Marasa ("Claimants") appeared Jill Marasa. For Respondents Prudential Securities, Inc. ("Prudential") and Lawrence Durso ("Durso") appeared Dominick Evangelista, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gloria Kates Case# vs. 93-02531 Name of Respondent Robert Kearse REPRESENTATION Claimant, Gloria Kates ("Claimant") who resides in Staten Island, New York, represented herself at the hearing. Respondent, Robert Kearse ("Respondent") who resides" in New Jersey, represented himself at the hearing. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Cheryl Moher, Claimant. v. No. 93-02527 James Stuart Burg, Allan Jay Feldman, Hyman Klieback, Calvert Securities Corp., Financial Planners Equity Corp., Total Services Investments, Inc./ Contemporary Financial Planning, Inc. Respondents. REPRESENTATION OF PARTIES Claimant Cheryl Moher ("Claimant") was represented by Raymond S. Heyman, Esq. and Timothy Bolden, Esq. of O

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Toluca Pacific Securities Corporation NASD Arbitration v. No. 93-02524 Name of Respondent Jeffrey Dabbs REPRESFNTATION For Claimant: Peter Blowitz, Toluca Pacific Securities Corporation, Burbank, California For Respondent: Jeffrey Dabbs, Calabasas, California CASE INFORMATION Statement of Claim filed: June