N*JLS:D. AWARD NATIONAL ASSOriATTOTM OF SRrTTRrnPS DP A I FKS. In the matter of the Arbitration Between Nanw n Marvin Age* NASD Arbitration No.93-G0224 Shcainoo Lehman Brothers* IDC. Frederick S. Btick For Claimant: California REPRESENTATION Paul R Youn& Securities Arbitration Group, Inc., Marina dd Key. For Respondent Philip A, McUod, Esq., Kceal, Young & Logan, San Francisco, California flASE INFORMATION Statement of Cl

NA.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jourdain B. DeWerd Steven P. Cesinger NASD Arbitration No.93-00216 pf Respondent Sutro & Co., Inc. REPRESENTATION For Claimants: Michael J. Faber, Esq., Yuhl, Faber & Yuhl, Santa Monica, California For 'Respondent: Thomas J. Kavaler, Esq., Cahilll Gordon & Reindel, New Yoric, New York Statement of Claim filed: January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Edwin Rosen & Betty Rosen 93-00214 Name of Respondents Great Western Financial Securities Bryan Powell In a claim filed with the National Association of Securities Dealers, Inc. on January 21, 1992, Claimants Edwin & Betty Rosen, who appeared Pro Se, alleged in January, 1992, they were in possession of two maturing Certificate

N.A.S.D. ,-iWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 93-00209 Name of Respondent John D. Porter, m REPRESENTATION For Claimant, Prudential Securities, Inc. ("Claimant"), Gilbert W. Boyce, Esq. of Kutack Rock located in Washington, D.C. For Respondent, John D. Porter, m, ("Rtspondent") Robert M. Buschmann, Esq., of Gage Finneran & Buschmann locais

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Esther Shurkin 93-00204 Name of Respondents Ian R. Hosang A.S. Goldmen & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 20, 1993. Claimant Esther Shurkin. who appeared Pro Se, alleged that on December 14, 1992, Ian R. Hosang told Claimant's husband, Israel Shurki

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) District 65 Retirement Trust for Members of the Bureau of Wholesale Sales Representatives NBA Residual Benefit Fund The Bureau Foundation NBA Special Purpose Fund Bureau of Deferred Compensation Fund 93-00200 Name of Resoondent(s) Prudential Securities Inc William L. Kicklighter, Jr. Name of Third Party Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant -. Virginia M. Myers 93-00197 " Name of Respondent Dain Bosworth Incorporated REPRESENTATION For Claimant at the hearing: Richard H. Krochock, Esq. of Rider, Bennett, Egan & Anindel, Minneapolis. Minnesota. For Respondent at the hearing: James B. Lynch, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of ri' John Stephens vs. NASD #93-00173 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. David A. Mendoza For Claimant: Irving Pfeffer, Esq., San Francisco, California For Respondents: Thomas L. Taylor, m, Esq., Jones, Bell, Simpson & Abbott, Los Angeles, California CASE INFORMATION Statement of Claim filed: January 18, 1

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richmond Hillcrest & Co., Inc., Claimant v. Robert L. Cirillo, Respondent Case Number: 01-00918 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Danielle J. Tarasen, Esq. Keesal, Young & Logan, P.C. Long Beach, California For Respondent: Robert L. Cirillo, Pro se Pasadena, California CASE INFORMATION Statement of Claim filed: Februa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Joseph V. and Mara Lee Mayer Name of Respondents Chuck Sjostrom and Shearson Lehman Brothers 93-00165 REPRESENTATION OF PARTIES For Claimants, Joseph and Mara Lee Mayer at the hearing: Bruce Pearson, Fargo, North Dakota. For Respondents, Shearson Lehman Brothers and Chuck Sjostrom at the hearing: Andrew Cohen, Esq. of Dorsey & Whitney, Minneapolis, Minnesota.