•' M.A.SJX AJffiED ASSCOXnCN OP SECURITIES EEHLEBS la t±ie Ztetter of tte Azfeltzaticoi BatMeen Of n Estate of Max Fiatar, Charlotte laler VS. of Ben Oriand atathers, Inc- Arbitration AsiociattQn o* oaton* Inc. MASD Fmancal Center 33 Whitehall Street Mew York. N.Y. 10004 FAX (2125858-4389 case # 91-03265 For Claimant; Josepb H.Keaaan, Esq. of tiae law fizm of Boctot & Keenan, : Arttair C- ScbiiE*ach, Eaq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of SecuritiM D«*ler», Inc. One East Broward Boulevard Suite 1000 Ft. LauderdaJe. Rorida 33301 (305) 522-7391 Hark & Barbara Ckun and Edith Braunstein tfame of Respondent (s) Datek Securities Corp. Li twin Securities Inc. Felix Staolensty Case No. 91-03264 For Mark Barbara Ctam ("Cfcun 11 ) ar| d Braunstei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCDRITIES DEALERS In the Matter of the Arbitration Between ) Name of naiinant(s) ) Halter and Lillian Webetbauer, TTEES. ) Name of Respondent (a) ) Investment Management & Research, Inc. ) For j Walter aTV * Lillian Weberbauer Arbitration National Association of Securities Dealers, Inc. One East Broward Boulevard Ft. Lauderttele, Ronda 333QJ_ (305) 522-7391 Case No. 91-03263

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between T of a P i *.; '- Richard Matthew Becker ) ) Case No. 91-03262 Name of Otra Clearing, Inc. Claimant, Richard M. Becker ("Hecter") : pro se. For Respondent, Otra Clearing Corp. {"Otra") : Scott Hanson, Esq. of Otra. Statement of ^»< ™ filed: October 17, 1991. Claimant's Submission Agreement signed: October 10, 1991. Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ann H. Shafnacker 91-03261 Raymond. James & Associates. Inc. Peter Bucchieri Claude Lochet Investment Timing & Research. Inc. Bucchieri &. Lochet, Inc. Investment Manasement and Research. Inc. REPRESENTATION For Claimant Ann H. Shafnacker ("Claimant"): T. Christopher Donnelly, Esq. of the law firm of Donnelly. Conro

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SBCORTTTES DEAI^RS In the Matter of the Arbitration Bet&»en National Association of Securities Dealers. Inc. NASD F : nancial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2121 858-4339 Lindsay H. Welling, Jr. VB. Mane of Respondents Brew (Alex) & SODS Incorporated Robert V. Ballard CASE # 91-03260 Claimant, Lindsay H. Welling, Jr. ("Claimant 11

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fletcher R. McKinney Courtney w. McKinney 91-03258 Name of Respondent Prudential Bache Securities, Inc. REPRESENTATION For Claimants: Mitchell Scott Paul,Esq., Minneapolis, Minnesota. For Respondent: Patricia A. Fitzpatrick, Esq. of Prudential Securities, Inc., New York, New York. CASE rNFORMftTION Statement of Claim filed: October 17,

N.A.S.D. ASSOdXnCN OF SECURITIES DSkLEKS in tie Matter or the Arbitration Bel Name of daimnta John F. & Shirley K. Herlihy l&aodara Bitter ^wi«riHHaii-*ri W/91" 03257 Name of ResDoocients Martin Franteel laSalle Street Securities, Inc. For Claimants: Jeffrey Creamer, Esq. of Shumater, T< oop & Kenorick. Hespcodent Martin Frantel **< * not atteod ^^"» 1 nvi i i i HJ Respondent LaSalle Street Securities , Inc. has altered into a settli a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Trelby Edwards and 91-03254 Name of Respondent -— Sam Pedraza - - *v- REPRESENTATION OF PARTIES Claimant Trelby Edwards appeared pro se. Respondent Sam Pedraza appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about October 16, 1991* Claimant Trelby Edwards' Submission Agreement was signed on

jt>; Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Irving, Claimant, vs. Melvin Securities, LLC, and David Kenneth, Respondents. Case Number: 01-00808 Hearing Site: Chicago, IL REPRESENTATION OF PARTIES Claimant, David Irving ("Irving"), sometimes referred to as "Claimant": Leslie A. Blau, Esq., Blau & Bonavich, 140 South Dearborn, Suite 1610, Chicago, IL 60603-5202 and James R. Latta, Esq., 140 South Dearbo