N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la tha Matter of the Arbitration Between Name of Claimant/Counter-Respondent Wanda E. Jarrell 91-04059 pf Respondents/Counter"Claimants Shearson Lehman Button, Inc., now known as Shearson Lehman Brothers, Inc.; Harold Finstad For Claimant/Counter-Respondent: Wanda B. Jarrell was represented by William Vincent Walker, Esq. of Bonham, Carrington & Fox, P.C., located in Houston, Texa

W.JLS.D. AWARD ASSOdATICET OF SECORITIES In the Matter of the Arbitration Between. of Ben Turnage and Banco, Ltd. 91-04058 - - -fv Name of Respondents Prudential Securities Incorporated; FOOT Claimants: Ben Turnage and Roxoo, Ltd. ware represented by Clifton Bodge, Esq. and W. Robert Jones, HI, Esq. of Phelps Dunbar, located in Jackson, Mississippi. For Respondents: Prudential Securities Incorporated and Gerry Tflimfi were repres

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Walter and Bernice Bell Claimants CASE #91-04056 AWARD vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Joseph Pawelski Joseph Podraza Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 23, 1991, Claimants, Walter and Bernice Bell who appeared Pro Se, alleged that in December 1989 t

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ^ In the Matter of the Arbitration Batween Name of Claimant Fairmont National Bank " " "" n/k/a Bank Midwest Name of Respondent First Bankers Securities " *" Corporation n/k/a Kingland Capital Corporation Name of Claimant Kingland Capital Corporation f/k/a First Bankers Securities Corporation and First Bankers Leasing Company No. 91-04054 Name of Respondent Ban

Arbitration N.A-S.D. AWARD - National Assoc,at,on of - Securities Dealers, inc. NATIONAL ASSOCIATION OF SBCDRITTES DEAI*ERS * NASD Financial Center . 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 10004 FAX (212)858-4389 Name of Claimant John W. Davidson 91-04051 Name of Respondents Interstate/Johnson Lane Vincent Martin For Claimant John W. Davidson ("Claimant 11 )

BJLSJD. AKMX:iAT-im GF aamui'iMiaj rwrjpg HC. In the **»i *"• of the Arbitxatdjoa B. 91*04050 - - -v- 9SLS^£§£SS£3£ DBEvid R StBiz^acg and Bnrt-trlinr & Gaapany, Hoc. Claimants, John aod Nbrjoa *r4 Tdahi"*ivi were represented by George R* Esq. of TilnfiPin, Chapa & Fields, Tucson, Arizona. Respondents, David R. Steinberg and Boettcber & Oonpany ^ by William F. Nelson, Esq. of Robinson, Waters, O'Dorisio and Rapson, Denver, Tbe St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SkLtlKTi'lES DEALERS In the Matter of the Arbitration Between Name of Cla ivm*. Leslie A. Gcntoerg of NASD Arbitration No. 91-04046 Ranald C. Lefkcwitz For Claimant: Carroll R. Melton - Arbitration Consultants For Respondent: In Fro Se Statement of ma-i™ filedi December 20, 1991 Claimant's Submission Agreement signed on: December 9, 1991 Statanent of Answer filed by Respondent on: April 4, 1992

N.A.S.D. AWARD MATICJIAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald B. Egan d.b.a Donnegan R. International"^ Inc. 91-04043 Name of Respondents Shearson Lehman Brothers, Inc.; Mark Stevenson; David Bromberg RBPRESKHTATIOH For Claimant: Donald B. Egan d/b/a Donnegan R. International Inc. appeared pro se. For Respondents: Shearson Lehman Brothers, Inc., Mark Stevenson and David

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00859 George E. Prindible, claimant vs. Thomas Weimer, Kidder, Peabody & Co. and PaineWebber, Inc. respondents. ATTORNEYS: Claimant appeared Pro Se, Hilton Head, SC. For Respondent Kidder, Peabody & Co., Incorporated appeared Peter Salerno, Esq., in-house counsel, New York, NY. For Respondents PaineWebber and Thomas Weimer appeared Vincent Oliva, Esq., in-house counsel, Weehawk

_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Estate of Meir S. Mukamal Barry Mukamal, as co-executor Stuart Mukamal, as co-executor Reisa Arnold, as co-executor 91-04042 Name of Respondents Smith Barney Harris Upham & Co., Inc. Edmond H. Masri REPRESENTATION For Claimants, the Estate of Meir S. Mukamal, Barry Mukamal, Stuart Mukamal ("the Mukamals") and Rei