N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kesia D. Taylor 92-02897 Name of Respondent Oxford Capital Securities, Inc. Garland Mitchell For Claimant Kesia D. Taylor: she appeared pro se. For Respondent Garland Mitchell ("Mitchell"): statement of answer was submitted pro se. For Respondent Oxford Capital Securities, Inc. ("Oxford"): no representative appeared for Oxf

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Amir Rosenthal NASD Arbitration No. 92-02895 Name of Respondent^ Toluca Pacific Securities Corporation Steve Friedman Peter Blowitz REPRESENTATION For Claimant: Paul H. Samuels, Esq., Santa Monica, California For Respondents: Sheldon M. Jaffe, Esq., Los Angeles, California and Edward Gartenberg, Esq., Burris, Drul

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Erwin A. Weiss Case no. vs. 92-02893 Name of Respondents Gary Goldberg & Co.. Inc Gary Goldberg For Claimant, Erwin A. Weiss ("Claimant"), Joseph F. Keenan, Esq., from the law firm of Bochat & Keenan. Inc.. P.C. For Respondents. Gary Goldberg & Company, Inc. ("GGCI") and Gary Goldberg (Goldberg) (collectively "Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In cite iviauer of the Arbitration Between Name of Claimant Leslie McKay 92-02887 Name of Respondents Princeton Financial Group, Inc. David Harris For Claimant, Leslie McKay ("Claimant"), William G. Bauer, Esq., from the law firm of Woods, Oviatt, Oilman, Sturman & Clarke. For Respondent, David Harris ("Harris"), Laura' J. Wilson, Esq. from the law firm of Harris Beach & WUcox.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Frank G. Mistretta 92-02884 Name of Respondents Advest. Inc. Daniel J. Wixted Washington Investment Corporation For Claimant Frank G. Mistretta ("Claimant"): Walter D'UU, Esq., sole practitioner. For Respondent Advest, Inc. ("Advest"): William C. Frcitag, Esq., in-house counsel at Advest. For Respondent Daniel J. Wixted ("Wix

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Arthur Resnikoff Jacqueline Levy NASD Arbitration No. 92-02883 Name of Respondent(s) Kidder, Peabody & Co., Inc. Steven Nothmann REPRESENTATION For Claimants: Brian K. Lowe, Investors Arbitration Services, Inc., Woodland Hills, California For Respondents: William H. Phelps, Esq., Kidder, Peabody & Co., Inc., Los

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Abraham Adhanom 92-02880 Name of Respondents) Lee Catineau David Dalton REPRESENTATION Claimant, Abraham Adnanon ("Claimant") was not represented by counsel. For Respondents, Lee Catineau ("Catineau") and Dave Dalton ("Dalton"), John R. Blake, Esq. from the law firm Bowditch & Dewey. CASE INFORMATION Statement of C

~ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Lynn H. Bellisaiio vs. NASD #92-02874 f Resondent Steven A. Seffrcn RJEEBES£MIAlIQ£f For Claimant: Lynn Bellisario For Respondents: Steven Seffrcn (did not appear at hearing) CASE INFORMATION Statement of Claim filed: August 26, 1992 Claimant's Submission Agreement signed: August 18, 1992 Statement of Answer filed by Respon

Award NASD Dispute Resolution In the Matter of the Arbitration Between: r- 01-02439 Janet H. Helseth and C. Bryan Harwell, As Co-Executors of the Estate of Virginia B. Edwards nf tVip Hiring S^ ffv Nashville, Tennessee J.J.B. Hilliard, W.L. Lyons, Inc.; PNC Bank Corp.; PNC Financial Services Group, Inc.; and PNC HL Holding Corp. PF.PPF.SF.NTATTON OF PAPTTF.S Claimants Janet H. Helseth and C. Bryan Harwell, As Co-Executors

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between AWARD #92-02872 Charles E. Cresap Claimant vs. Raymond James & Associates, Inc. Diane Dubose Respondents CASE SUMMARY In the claim filed with the National Association of Securities Dealers, Inc. on August 26, 1993, Claimant Charles E. Cresap who appeared Pro Se, alleged that Respondent Diane Dubose, while employed by the Respondent firm R