N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the matter of the Arbitration Between of Claimants Richard and Katherine Simon, et al. NASD Arbitration No. 93-01588 Name of Respondents ^Prudential Securities, Inc. Holford Securities (U.S.), Inc. Gerald H. Klein REPRESENTATION For Claimants: Edward Russey, Esq., Greenbaum and Ferentz, Newport Beach, California. For Respondent Prudential Securities, Inc.: William Cass

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. NASD Case No. vs. 93-01586 Name of Respondent Mark J. Schroeder REPRESENTATION For Claimant, Prudential Securities Inc. ("Claimant"), David L. Becker, Esq. from the law firm of Kutak Rock located in New York, New York. For Respondent, Mark J. Schroeder ("Respondent"), Andrew Liput, Esq. from

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities Inc. v. Alan R. Evans Case Number: 01-02595 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES First Union Securities Inc., hereinafter referred to as "Claimant," was represented by Tom Voltz, Esq. of Kane & Fischer, Ltd. Located in Chicago, Illinois. Alan Evans hereinafter referred to as "Respondent" of Houston Texas, represented himself.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS JA ' ! l9 ''' ; ;•••.; •;~:r>»J In the Matter of the Arbitration Between Name of Claimant(s) Edwin R. Ruskin 93-01575 Name of Respondents) Prudential Securities Inc Linda Ryan REPRESENTATION For Claimant, Dr. Edwin R. Ruskin ("Ruskin"): Charles D. Franken, Esq. of Charles D. Franken P.A. in Plantation, FL. For Respondent, Prudential-Bache Securities Inc. ("Prud

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan Desiderio 93-01568 Name of Respondent Great Western Financial Securities For Claimant Susan Desiderio ("Desiderio"): William R. Amlong, Esq. and Robyn S. Hankins, Esq., of Amlong & Amlong, P.A., Fort Lauderdale, Florida. For Respondent Great Western Financial Securities ("Great Western"): Mark E. Zelek, Esq., of Morgan, L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Anthony and Joann Niekrewicz 93-01560 Name of Respondent(s) Michael P. Ryan Prime Capital Services, Inc. REPRESENTATION For Claimants Anthony and Joann Niekrewicz: David L. Becker, Esq. of the law firm of Kutak Rock, New York, NY. For Respondents Prime Capital Services, Inc. and Michael P. Ryan: Ted Finkelstein, Esq.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold P. Button V. Case # 93-01556 Name of Respondents Fahnestock & Co., Inc. First Albany Corporation For Claimant Harold P. Button ("Button"): Robert L. Ferris, Esq., New York, New York. For Respondent Fahnestock & Co. Inc. ("Fahnestock"): Eric Shames, Esq. General Counsel of Fahnestock, New York, New York. For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barry and Ellen Levine Case# vs. 93-01547 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimants, Barry and Ellen Levine ("Claimants"), Edward T. Dangel, ffl, Esq., located in Boston, Massachusetts. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson"), Christopher P. Litterio, Esq., form

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Zygmund and Charlotte Tylock 93-01788 Name of Respondents Seco West Limited David C. Hackney REPRESENTATION For Claimants: Donald G. McGrath, Esq., Buffalo, New York. For Respondents: Paul K. Stecker, Esq. of Phillips Lytle Hitchock Elaine & Huber, Buffalo, New York. CASE INFORMATION Statement of Claim filed: April

N.A.S.D. AWARD N/vTIONAI. ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Alfred L. Cox Janet K. Cox „, NASD Arbitration No.93-01756 Name of Respondent Thomas LaPIante REPRESENTATION For Claimants: Claimants appeared in pro per. For Respondent: Respondent appeared in pro per. CASE INFORMATION Statement of Claim filed: April 30, 1993 and served on Respondent on March 28, 1995