Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marilyn Levine, Jason Levine, and The JEK Trust UA DTD 07/30/96, (Claimants) vs. Prudential Securities Incorporated, Charles Anastasiou, and Michael Anastasiou, (Respondents) Case Number: 01-02598 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Marilyn Levine ("M. Levine"), Jason Levine ("J. Levine"), and The JEK Trust UA DTD 07/30/96 ("JEK Trust"), herei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Douglas & Billy W. Wilson 93-01829 Name of Respondent Oppenheimer & Co., Inc. For Claimants: Douglas and Billy W. Wilson ("Wilson") was represented by Julia D. Mannix, Esq. of Davis, Mannix & McGrath, located in Chicago, Illinois. For Respondent: Oppenheimer & Co., Inc. was represented by Eugene L. Small, Esq. of Oppenheimer & Co., Inc., located in

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 93-01812 Name of Respondent William Ashby Frayser REPRESENTATION For Claimant PaineWebber, Inc. ("PaineWebber") appeared Lisa Tillem, Esq. in-house counsel for PaineWebber, Inc. Respondent William Ashby Frayser ("Frayser") appeared pro se. CASE INFORMATION The Statement of Claim was filed on April 30,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paul R. Kessel 93-01798 Name of Respondent Prudential Securities Incorporated REPRESENTATION OF PARTIES Claimant Paul R. Kessel ("Kessel") was represented at the hearing by Dale West, Esq. of North Little Rock, Arkansas. Respondent Prudential Securities Incorporated ("Prudential") was represented at the bearing by Kevin A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Treena Sokol Hans Kaemmlein Ronnie Berger Matthew Matza Michael Kleban Barbara Frank 93-01623 Dennis Schweber 93-01624 H. Thomas Ferstl 93-01628 93-01631 93-01632 93-01633 93-01634 93-01635 Name of Respondents Joseph R. Huard, Jr. Shamrock Partners, Ltd. Brian G. McGowan Craig Medoff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 93-01741 Name of Respondent Peter Bernard McCartney REPRESENTATION For Claimant Prudential Securities, Inc.: Gilbert W. Boyce, Esq. of the law firm of Kutak Rock located in Washington, D.C. For Respondent Peter Bernard McCartney : Brian J. Quinn, Esq. of the law firm of Birbrower, Montalbano, Condo

N^uS J>. A WARD NATTOMAT. A< tSOf.TATTnN OP ffFrTmTTTP'g nTTATTTR,^ TMP. In the pmrtffr of ?h^ Arbitration Between LeeDymits NASD Arbitration No: 9341716 Pacific Brokerage Services, IDC. For f^ta{»r»^TfT; Tn Pro Sc For Rnponrf^r; Stephen P. BedeH, Esq. - Gardner Carton & Douglas • Chicago, HL CASE TVPQRMATTQV Statement of Claim filed: April 29, 1993 Claimant's Submission Agreement signed: April 23, 1993 Answer ffled by Respondent: July 20

Tf N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURH !• S DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Edward P. Fernandez, Trustee for Aztec-Marin Defined Benefit Pension Plan NASD Arbitration #93-01714 vs. Name of Respondents First Associated Securities Group, Inc. Larry Miller REPRESENTATION For Claimant: Reed H. Bement, Esq., San Francisco, California For Respondents: Patrick Baldwin, Esq., Menlo Pa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Cjaimaity Anne P. Nagel 93-01709 Name of Respondent; Shearson Lehman Brothers, Inc. REPRESENTATION For Claimant: Anne P. Nagel ("Nagel") was represented by Walter L. Baumgardner, Esq, of Musilli, Baumgardner, Wagner & Parnell, P.C., located in St. Clair Shores, Michigan. For Respondent: Shearson Lehman Brothers, Inc.("Shearson"), now kn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Fred and Joan Boeheim Case No. vs. 93-01666 Name of Respondents Westmoreland Capital Corporation Terry J. King REPRESENTATION For Claimants, Fred and Joan Boeheim, ("Claimants"), Eric A Bloom, Esq. located in Buffalo, New York. For Respondent, Westmoreland Capital Corp., ("WCC"), Robert J. Lane, Esq. from the law f