N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald G. Hardesty 95-02187 Name of Respondents Olde Discount Corporation Bill Short CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 8, 1995, Claimant Donald G. Hardesty ("Claimant"), who appeared Pro Se, alleged that Respondents Olde Discount Corporation f ODC") and BUS Short

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between » Name of Claimants Kenneth C. and Julia A. Jones 95-02183 Name of Respondents PaineWebber, Inc. Mark Scaglione Patrick. Shea Robert A. Rosso CASE SUMMARY In a claim filed with the NationaJ Association of Securities Dealers, Inc. on May 5, 1995, Claimants Kenneth C. & Julia A. Jones, who appeared Pro Se, alleged that Respondents Pai

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Donald James Fuselier Josette M. Fuselier and , NASD Case Number; 95-02181 Name of Respondents Prudential Securities, Inc. Jan Holland Townes REPRESENTATION OF PARTIES Claimants Donald James Fuselier and Josette M. Fusetter were represented by Jeffrey Ackermann, Esq. of Durio, McGoffin & Stagg located In Lafayette, Louis

N.A.S.P. AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Lorraine Simpson NASD Arbitration No.95-02177 Natne nf Respondents U.S. Bancorp Securities Robert W. Towers, m Timothy Dugan For Claimant: Robert M. Roth, R.M. Roth & Associates, Appleton, Wisconsin For Respondents: Kenneth C. Mennenwier, Esq., Orrick, Herrington & Sutciiffe, Sacramento, California CAgE JlVFf

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Sheila Madding IRA and Sheila Madding Family Trust v. Prudential Securities, Inc., Jennison and Associates, et al. Case Number: 01-01918 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Sheila Madding IRA Sheila Madding Family Trust For Respondents: Prudential Securities, Inc. James E. Lemonick James R. Zitch Stephen M. Moore

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS IN THE MATTER OF ) ARBITRATION BETWEEN ) ) JOHN R. HUTCHISON, JR., ) ) Claimant, ) ) v. ) 95-02168 ) CHARLES SCHWAB & CO., INC. ) ) Respondent . ) PARTY REPRESENTATION For Claimant: John R. Hutchison ("Hutchison") was represented by Harry O. Moline, Esq. of Moline & Shostak, L.L.C., located in St. Louis, Missouri. For Respondent: Charles Schwab & Co., Inc. ("Schwab

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony C Soviero Name of Respondents Prudential Securities Inc. Stewart Melman Case No. 95-02160 REPRESENTATION For Claimant, Anthony C. Soviero, Esq. ("Soviero"): Anthony C. Soviero Esq. of DeLray Beach, Florida. For Respondents, Prudential Securities, Inc. ("PSI") and Stewart Melman ("Melman"): V. Michael Arias,

N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Gaimast William J. McHale 95-02158 Name of Respondents Dean Witter Reynolds, Inc. Kenneth J. Blake CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1995, Claimant, William J. McHale, who appeared Pro Se, alleged that Respondents, Dean Witter Reynolds, Inc., ("DWR") and Kenneth Blake (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS (n the Matter of the Arbitration Between Name of Claimant Mary L. Clark 95-02157 Name of Respondents Jacqueline A. Moody Robert Thomas Securities, Inc. Name of Crossclaimant Robert Thomas Securities, Inc. Name of Crossclaim Respondent Jacqueline A. Moody CASE SUMMARY In a ciaim filed with the National Association of Securities Dealers, Inc. on May 4,1995, Claimant Mary

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant * Hemy H. Wohl Name of Respondents Tucker Anthony, Inc. John T. Wagner 95-02156 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1995, Claimant Henry H. Wohl ("Claimant"), who appeared Pro Se, alleged that Respondents John T. Wagner ("Wagner"), and Tucker Anthony, Inc. (T