N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin E. Lockhart Case #92-01739 Name of Respondents Advest, Inc. Abraham Yacteen REPRESENTATION For Claimant, Edwin E.Lockhart ("Claimant"), Lynre Harns, Esq., from the law firm of Hans and Curran, P.C. For Respondents, Advest, Inc. ("Advest") and Abraham Yacteen ("Yacteen"), William Freitag, Esq. in-house counsel at A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roberta D. Loomis 92-01731 Name of Respondents Stratton Oakmont, Inc. David Margules Jordon R. Belfort Kenneth S. Greene REPRESENTATION i For Claimant, Roberta D. Loomis ("Loomis"): Carl L. Distefano, Esq., of Fox & Horan. For Respondents, Stratton Oakmont, Inc. ("Stratton"); David Margules ("Margules"); Jor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter P. Tornatore No. 92-01726 Name of Respondent Blunt Ellis & Lowei, Inc./ Kemper Securities, Inc. REPRESENTATION OF PARTTCS Peter P. Tornatore appeared pro se. For Respondent: Robert S. Steigerwald, Esq., Kemper Securities, Inc., Chicago, Illinois. CASE INFORMATION Statement of Claim filed: May 22, 1992. Claiman

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Dr. Pervez Yusaf, Ezra Yusaf, Michael A. Yusaf, Tania E. Yusaf, and Shakuntala Haroon and 01-00896 Southfield, Michigan Raymond James & Associates, Inc. William C. Mueller REPRESENTATION OF PARTIES Dr. Pervez Yusaf, Ezra Yusaf, Michael A, Yusaf, Tania E. Yusaf, and Shakuntala Haroon ("Claimants") were represented by Scott L. Mandel, Esq., Foster, Swift, Collins & Sm

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant(s) John William Miller, H, Elizabeth Sterling Miller and Hartley Raymond Miller, B.N.F. Carol T. Miller and John Hartley Miller, as Trustee of FBO S.P. Davis Trust A. FBO S.P. Davis Trust B, and FBO S.P. Davis Trust C 92-01724 Name of Respondent s) The Robinson-Humphrey Co., Inc, Richard King REPRESENTATION For Claimants: Edward H. Saunders, Esq.

\OY.-'33'«rtEDl- 1MI ?RDDEST1AL SECURITY TEL:2L3 486 5-95 P. 02 October 21,1993 B14., Cfeticpmoa •HUDCHU ef fieeutfei Dealm, v flg AitarrBATtnN ofifa Ptwi: fonnai Jdat Motion for Entry of Stipulated ConantAwnd Thisltmr ixtthetbovt WHESEAf, Ojcteam, PmdMftiil Sacurinc* InfioTpamMl C^^^i commanced an procoedint QlASD Mo. 32-0171S) At^^ Re^oaicnt, Ktrnlrf Orott CGto**'), 00 M tbttlt Miy 14 1992 tttUni to Meovftt irwuna ewwd under a

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Thelma Baron 92-01715 Name of Respondent^ Shearson Lehman Brothers, Inc. Joseph Finnegan CASE SUMMARY In a claim riled with the National Association of Securities Dealers, Inc. on May 21, 1992, Claimant Thelma Baron by and through her counsel J. Robert MacAneney, Esq., Sole Practitioner, New York, N.Y., alleged

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimant Denise C. Burns 92-OL711 Name of Respondents Prudential Securities. Inc. John Estrada Jim Parker CASE SUMMARY In a claim tiled with the National Association of Securities Dealers. Inc. on May 21. 1992. Claimant Denise C. Burns, through her counsel, Mitchell S. Oswald of Seaman. Seaman & Oswald, Sacramento. CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Leslie W. Green 92-01708 Name of Respondent!si Hibbard Brown £. Co. Arthur Cliick CASE SUMMARY In a claim filed with the National Association of Securities dealers. Inc. on May 21. 1992. Claimant Leslie W. Green who appeared Pro Se. alleged that in July L9Q1. Respondent Arthur Chick, a registered representative at Respond

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin & Miriam Wagman Name of Respondents Uni Eq Investment Group, Inc. Thomas Grebis 92-01700 REPRESENTATION For Claimants Martin and Miriam Wagman ("Claimants"): James Faulkner Detwiler, Attorney at Law For Respondents Uni Eq Investment Group, Inc. and Thomas Grebis ("Respondents"): James A. Hartz, Attorney at Law