OCT. 7.1997 9:57flM NflSD REGLJLfiTION INC NO.S06 P.2 . _... N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the MittflT of the AilAnnnn Between MkfaMl Loner indrodoally and as PhyllU Mtto InttividwOly ind M aiBCutui of the TbiMfl of Mlmfe T/imnf, Ud IS — • 4k^, ¥f ^^4^ —J % tf^jafcla T AMM^M Tyt (DB ^DBEBHD DK UK0IIUD ^MDKHBF 93-00002 Bichird Sclnrastz Inc. IK. For Oftimafltt, lUdwl Lanr indMdadty CM. Lean*), Ph^Hi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Milan and Johanna Krpan vs. Name of Respondents Smith Barney Harris Upham & Co., Inc. H. Thompson Rodman, Jr. Cynthia A. Mumby Case No. 92-04384 For Claimants Milan & Johanna Krpn ("Claimants"), appeared David C. Harrison, Esq. located at 2100 Arch Street, 8th Floor, Philadelphia, PA 19103 For Respondents Smith Bar

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NamgofClaiinantfs) Emily DeWoIfe 92-04381 W.J.Nolan & Company, Inc. Robert J. Panneil For Claimant: K. Will Pctterson of Arbitration Recovery Consultants, Inc. For Respondent Hayward Richard Pressman, Esq., sole practitioner. CASE INFORMATION Statement of Claim filed: December 30, 1992. Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael W. Monchino and Donna K. Monchino; Michael W. Monchino for Matthew T. Monchino, Minor. 92-04375 Name of Respondents Vanguard Discount Brokerage Services, a division of Vanguard Marketing Corporation; Zaheer T. Husain; - Richard J. McHale; Timothy P. Holmes; ..... Scott Ramsey; Karl Kohl. REPRESENTATION For Claimants: Mic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Dana L. Muonek 92-04371 of R Merrill Lynch, Pierce, Fenner & Smith. Inc. John Nuilheiu Dana L. Masonek ("Oaknant") WHS fepieaemed by Jeffrey Cook, Esq. of Sullivan Patter & Cook, Dallas, Texas. Merrill Lyacn, Pierce, Fcnner & Smith, Inc. and John Northern ('Rwpondentt") were lepiesented by Gregory D. May. Esq. of Mona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: BioPharma Capital Limited and Modern Medicine Fund, (Claimants) vs. Lehman Brothers Inc., Lehman Brothers International (Europe), and Lehman Brothers Holding Inc., (Respondents) Case Number: 01-02555 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, BioPharma Capital Limited ("BioPharma") and Modern Medicine Fund ("Modern"), hereinafter collectively referred to a

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00852 Olde Discount Corporation, claimant vs. Thomas H. Wesolowski and Anne T. Wesolowski, respondents. ATTORNEYS: Claimant appeared through its Collection Department Representative, Robert M. Visconti, Detroit, MI. Respondents did not respond to the Statement of Claim. DATE FILED: February 28, 2000 CASE SUMMARY: Claimant alleged that respondents failed to repay debit balance c

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Douglas Taylor Case # vs. 92-04370 Name of Respondent Neuberger & Herman REPRESENTATION For Claimant: Douglas Taylor ("Claimant"), William Pauley, Esq., from the law firm of Snitow & Pauley. For Respondent: Neuberger & Benrian ("Respondent") Eric J. Wallach, Esq. from the law firm of Roseman & Colin. CASE INFORMATIO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ArDitration Between Name of Claimants Jack Price 92-04369 Names of Respondents Prudential-Bache Securities Inc., n/k/a Prudential Securities. Inc.. and Anthony J. Parisi REPRESENTATION Claimant. Jack Price appeared pro se^ Respondent, Prudential Securities, Inc. was represented by Robin Nackman, Esq. of Prudential Securities, Inc., New York, New York.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lee Levin 92-04363 Name pf Respondents Gnmtal&Co., Inc. Jonathan Lyons For Claimant Lee Levin ("Levin") appeared Thomas P. Lynch, Esq. of the law firm Lynch, Rowin, Novack, Bumbaum & Crystal, P.C., New York City, NY. For Respondents Gnintal & Co. ("Gruntal") and Jonathan Lyons ("Lyons") appeared Kevin T. Rover, Esq. of the