N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Dr. Michael A. Disbro, and Nicola M. Disbro, Claimants, v. ' No. 93-02119 R.G. Dickenson & Co, n/k/a Dickenson & Co., Respondent. REPRESENTATION OF PARTIES Claimants, Dr. Michael A. Disbro and Nicola M. Disbro ("Claimants") were represented by Bruce Pearson of Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was represented by David C. Lundsgaard, Esq., of Dorsey

DEC-29-1994 11:54 FROM NflSD-RRBITRftTION-CNICfiGO TO 121285B4429 P.02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tie Arbitration Between Name of Claimant PaineWebber Incorporated 93-02112 Name of Respondent Andrew R. Zodin For Claimant: PaineWebber Incorporated (TaineWebber*) was represented by Paul G. Thomas, Esq. of PaineWebber Incorporated, New York, New York. For Respondent: Andrew R. Zodin ("Zodin") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel M. St. James and Janet St. James 93-02111 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimant: Daniel M. St. James and Janet M. St. James ("St. James") were represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Parnell, P.C., located in St. Clair Shores, Michigan.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anna Breen, ind/ttee. 93-02100 Name of Respondents World Invest Corporation Financial Network Investment Corporation James Edwards Chester Kyle Henry Tegler, Jr. Glen Horecky REPRESENTATION For Claimant: Anna Breen ("Breen"), Russell L. Forkey, Esq. of Deerfield Beach, FL 33441. For Respondents: World Invest

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Christine A. Alulis Clement V. Alulis Matthew F. Alulis 93-02091 Name of Respondents Hibbard Brown & Co., Inc. Michael J. Ozga REPRESENTATION For Claimants Christine A. Alulis, Clement V. Alulis and Matthew F. Alulis (hereinafter collectively referred to as "Claimants") appeared Arthur J. Kyriazis, Esq., PA.

II N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jerry Wong H. Lann Wong NASD Arbitration v. No.93-02089 Name of Respondents Donald & Co. Securities, Inc. Robert Harris REPRESENTATION For Claimants: Michael Huberman, Esq. and Jeff Ferentz, Esq. - Greenbaum and Ferentz - Newport Beach, California For Respondents: Kenneth A. Elan, Esq. - New York, New

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lois G. Close 93-02073 Name of Respondents Shearson Lehman Brothers, Inc. Gary Meyerer For Claimant: F. William Meservey, Esq., Huntingdon, New York. For Respondents: Christine Tracy, Esq. of Smith Barney, Inc., New York, New York. CASE INFORMATION Statement of Claim filed: May 24, 1993. Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Anthony R. and Mary Lou Patete 93-02063 Name of Respondents A.G. Edwards & Sons, Inc. Philips, Appel & Walden Inc. Frederick Karafin REPRESENTATION Claimants Anthony R. Patete and Mary Lou Patete ("Claimants") were represented at the hearing by David Nicholls, Esq. of Allentown, Pennsylvania. Respondent A.G. Edwards &

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant J.W. Charles Securities, Inc. Name of Respondents 93-02057 Jon C. Botula Rita C. Botula Name of Third Party Respondent William B. Bruder REPRESENTATION For claimant J.W. Charles Securities, Inc. ("J.W. Charles") appeared Lonnie Browne, Esq. of the law firm of Boose Casey Ciklin Lubitz Martens McBane & O'Connell, located in West Palm Beach, Florida. For

TclGOPY Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Real Blais, Claimant v. InterFirst Capital Corporation, George E. Collado, Brett S. Briggs, Douglas A. Wright, and Bradford A. Phillips, Respondents Case Number: 01-02608 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Chad Weaver, Esq. Law Offices of Nash & Edgerton