NASD Arbitration No. 92-03100 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Phrydon E. Badal Name of Respondents) Roger F. Vierra REPRESENTATION For Claimant: Phrydon E. Badal, San Mateo, California For Respondent: Eric Swett, Esq., Keesal, Young & Logan, San Francisco, California ~" CASE INFORMATION Statement of Claim filed: September 14, 1992 Claimant'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeanette Williams 92-03095 Name of Respondents Prudential Securities Inc Gene Boyle, in REPRKSlgNTATION For Claimant Jeanette Williams appeared Robert S. Moraff, Esq. of the law firm of Schwartz, Tobia & Stanziale. For Respondent Prudential Securities, Inc. appeared Beth Kaufman, Esq. of the law firm of Shoeman, Marsh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Michael Banschback, (Claimant) vs. Joseph Gunnar & Co., LLC, James Crew, and Jonathan Hurd, (Respondents) > Case Number: 01-02454 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Michael Banschback, hereinafter referred to as "Claimant": Robert M. Vella, Jr., Esq., Pillari & Vella, Mineola, NY. Respondents, Joseph Gunnar & Co., LLC ("Gunnar") and James Crew (

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between f .Claimants Abram Speiser Trust Bemice Speiser Co-Trustee 92-03094 Name of Respondent^ Addison Financial Services Inc. First Montauk Securities Corporation Eric Finkel Robert Baran CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 15. 1992, Claimant Abram Speiser, Trust,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Angeiine Hines 92-03093 Name of Respondent s> MCW, Inc., f/k/a B.C. Christopher Securities Company David Sederholm For Claimant: Mark D; Wasserstrom Esq., of Kansas fcity, Missouri. For Respondents: Michael Vaughan, Esq. of Calkins, Weisenfels & Vaughan, Kansas City, Missouri. CASE INFORMATION Statement of Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clarence and Harriet Salzberg vs. 92-03091 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Sidney Kogan REPRESENTATION For Claimants, Clarence and Harriet Salzberg; Anthony V. Trogan, Jr., Esq. of Weisman, Trogan, Young & Schloss. For Respondents, Merrill Lynch, Pierce, Fenner & Smith, Inc. and Sidney Kogan; Thomas R.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nanje of Claimant? Arthur and Jane Boneberg 92-03085 Namg of Respondents Investacorp, Inc. Alan Weinberg Weinberg Financial Group REPRESENTATION For Claimants: Jeffrey A. Sellers, Esq. of Silverberg, Yood, Sellers & McGorry For Respondents: Alexander Bono, Esq., in-house counsel of Investacorp, Inc. CASE INFORMATION Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert A. and Ruth A. Wallace No. 92-03084 Name of Respondents Kidder, Peabody & Co., Incorporated Richard J. Kirsch REPRESENTATION OF PARTTKS For Claimants: Mark E. Maddox, Esq., of Coons, Maddox & Koeller, Indianapolis, Indiana. For Respondents: Richard Kelly, Esq., of Kidder, Peabody & Co., Incorporated, New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION QP SECURITIES DEALERS In the Matter of the Arbitration Between ft o Louise Brock NASD Arbitration No. 92-03083 Name National Securities Corporation For Claimant: Louise Brock - En Pro Se For Respondent: Mark Roto, Esq. - National Securities Corp. - Seattle, Wa. CASE INFOft]Vf ATTOft Statement of Claim filed: September 15, 1992 Claimant's Submission Agreement signed: September 10, 1992 State

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bernard W. Lifka 92-03072 Name of Respondents J.W. Gam & Associates. Inc. Troy Lowman CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September 14. 1992. Claimant Bernard W. Lifka. who appeared Pro Se, alleged that in February 1992 be opened an account with Respondent J.