N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sumner Herzog t/a Herzog Associates 92-02844 Name of Respondent/ Third - Party Claimant Shearson Lehman Brothers, Inc. Name of Thiid-Partv Respondent Constant Queller CONSOLIDATED WITH In the Matter of the Arbitration Between Name of Claimant Sumner Herzog t/a Herzog Associates 93-01394 Name of Respondent Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank J. Murphy NASD Arbitration No. 92-02841 Name of Respondents Robert Thomas Securities, Inc. Richard Caridi REPRESENTATION For Claimant: Craig S. Newman, Esq. - Lionel, Sawyer & Collins, Las Vegas, Nevada • For Respondent: Richard Caridi - Robert Thomas Securities, Inc. CASE INFORMATION Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William R. Wollrab u r and 92-02833 Name of Respondents Paulson Investment Company, Inc. and Richard Ruiz REPRESENTATION OF PARTIES Claimant William R. Wollrab appeared pro sg. Respondent Paulson Investment Company, Inc. was represented by Harry L. Stripiin. Respondent Richard Ruiz appeared prose. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimantfs) ) Milton, Merryl and Natalie Fein ) ) Case No, 92-02825 Name of Respondent^ ) Halpert & Company, Inc. ) Alan Halpert ) George Gonzalez ) ; i' Ij n ^ For Claimant, Milton Fein ("Fein"), pro se. For Respondents, Halpert & Company, Inc. ( H HCT) and Alan Halpert ("Halpert"): Alan Halpert. For Respo

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Boenning & Scattergood, Inc. 92-02823 Michael I. Wtlih, Ir, For Claimant Boeoniof & Scattergood, Inc. ("Claimant*): Michtel B. Scullin, Esq. of toe law firm of Monteverde ft Hemphill For Respondent Michael J. Walsh, Jr. ("Respondent") r Stuart J. Guber, Esq. of the law firm of Berger & Montague, P.C. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Marvin Perlman and Josephine Perlraan, individually and as trustees of the Perlman Family Trust NASD Arbitration No. 92-02821 Name of Respondents) Yaeger Securities, Inc. Nonna Yaeger John Barrett REPRESENTATION For Claimants: Harold J. Tomin, Esq., Fenigstein & Kaufman, Los Angeles, California For Respon

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NaineofCJaiinants Peter C. Stephen, Jr. & Patricia Stephen 92-02819 Mariner Financial Services, Inc. R.B. Wilbur CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 21,1992, Claimants Peter & Patricia Stephen, who appeared Pro Se, alleged that Respondent R.B.Wilbur, through the firm Marin

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Ariel and Yona Dotan vs. 92-02817 Name of Respondent! s) First Investors Corporation CASE SUMMARY In a claim tiled with the National Association of Securities Dealers. Inc. on August 21. 1992. Claimants Ariel and Yona Dotan who appeared pro se. alleged that Respondent First Investors Corp. failed to follow their explicit ins

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stephen E. Martin NASD Arbitration No. 92-2815 Name of Respondent Raymond H. Lubeck REPRESENTATION For Claimant: In Pro Se •' - For Respondent: In Pro Se CASE INFORMATION Statement of Claim filed: August 21, 1992 Claimant's Submission Agreement signed: August 17, 1992 Statement of Answer filed by Respondent: Non

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sandro Flores, Claimant v. Prudential Securities, Inc., Rodolfo Parente and John Debellis, Respondents Case Number: 01-02434 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Sandro Flores, hereinafter referred to as "Claimant": Hugo L. Black, Esq., Law Offices of Hugo L. Black, Jr., P.A., Miami, Florida. For Prudential Securities, Inc. ("Prudential")* Rodolf