NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Nellie Long and 95-03388 Name of Respondent Josephthal, Lyon & Ross, Inc. REPRESENTATION OF PARTIES Neilie Long ("Claimant") was represented by Earnie Banzhof, her brother-in-law. Josephthal, Lyon & Ross, Inc. ("Respondent") was represented by Robert E. Murphy, Esq. of Josephthal, Lyon & Ross, Inc. located in New York, NY.

N.A.S.D. AWARD NATIONAL" ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mountain Laundry Corporation Trust 95-03383 NameofResDondent Dean Witter Reynolds, Inc. CASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. oa Jury 14, 1995, Claimant,. Mountain Laundry Corporation Trust ("Claimant 1 *), through its representative, Paul W. Young, of Securities Arbitr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name, of Claimant Lemon L. Denzer 95-033S2 Name of Respondents Andrew Antonucci Vision Investments Group,. Inc. Northeast Securities, Inc. Matthew J. Beaulieu Korey K. Brown Paul L. Caruso CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1995, Claimant Lemon L. Denzer ("Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sam O. Tokun-Aga 95-03380 Name of Respondents Josephthal Lyon & Ross Inc. William Fauth CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1995, Claimant Sam O. Tokun-Aga ("Claimant"), through his representative, Brian K. Lowe, of Investors Arbitration Services, Inc., located

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ottilie Myhre 95-03370 Name of Respondents Prudential Securities, Inc. Pruco Securities Corporation Cecil G. McGavern Jim Ludwick CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 14, 1995 Claimant .Ottilie Myhre ("Claimant")* who appeared Pro Se, alleged that Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Name of Claimantfs) Donald and Mary Dufour. 95-03369 Name of Respondent!^ First Montauk Securities, Inc. AT. Broad & Co., Inc. Sapperston Financial, Inc. John R. Van REPRESENTATION For Claimants Donald and Mary Dufbur appeared Michael J. McNeil, Esq. of the law firm of Iseman, Cunningham, Riester & Hyde located in Albany, New York.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Devon Investment Advisors, Inc. and Devon Management & Consulting, Inc., Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated, Fredrick S. Berger, Stifel, Nicolaus & Co., Incorporated, Hardfen, Imhoff Inc., Smith, Benton & Hughes, Inc., and Neidiger, Tucker, Bruner, Inc., Respondents Case Number: 01-01030 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Dinesh Mehta and Ragini Mehta v. Salomon Smith Barney, Inc., Chuck Andler, and Lewis Walterhouse Case Number: 00-683 Hearing Site: Southfield, Michigan REPRESENTATION OF PARTIES Claimants, Dinesh Mehta and Ragini Mehta, hereinafter collectively referred to as "Claimants": Joe! H. Kaufman, Esq., Farmington Hills, Michigan. Respondents, Salomon Smith Barney, inc., ("SSB") Ch

In the Matter of the Arbitration Between Name of Claimant Mary Vasilakou 95-03366 Name of Respondents Manny Feit Kenneth Marsh Marsh, Block & Co. Alfred Block REPRESENTATION For claimant Mary Vasilakou ("claimant 11 ) appeared Joan M. Markey, Esq., with law offices located in New York, New York. Respondents Marsh Block & Co., Inc. ("Marsh Block"), Kenneth L. Marsh ("Marsh") and Alfred Block ("Block") were represented by Ronal

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Harold R. Barren tine Kaye V. Barrentine Burton B. Barmore, III Case No. vs. 95-03365 Names of Respondents Interstate/Johnson Lane George F. Claussen, III REPRESENTATION For Claimants Harold R. Barrentine ("H. Barrentine"), Kaye V. Barrentine ("K. Barrentine"), and Burton B. Barmore, III {"Barmore"), hereinafter collectively referred to as "Claima