N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ie Matter cf the AJ Name of Claimants Bernadette Haas Bernadette Haas IRA Carl A. Haas IRA Carl A. Haas Enterprises Defined Benefit Plan Team Haas U.S.A. Ltd. No. 91-00937 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES For Claimants: Frank Emmons, Esq. of Schwartz & Freeman For Respondents: Alan Charles Valente, Esq. and Robert Bramnik, Esq

N.A.S.D. AWARD NKTICNRL ASSOCZOTICN OF SECURITIES DEALERS In the Hatter of the Arbitration Between PaineWebber, Inc. Claimant and 91-00928 Robert Realise Claimant appeared and was represented by Edward G. Werner, Esq. of PaineWebber, Inc., Weehawken, New Jersey. Respondent appeared pro se. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 21, 1991, Claimant PaineWebber, Inc

N.A.S.D. AWARD NKTICNAL ASSOCTATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Claimant (s) HORACE Muling JR. * HCRACE A< BCr OHPANY, Defined Benefit Pension Plan* TCTACR HEIDI AGENCY OCMPANT, dba MAGNOLIA. ESTKIE BARBARA OACXSCtl, Trustee of the Horace Heidt 1980 Insurance Trust FBO Horace Heidt; BARBARA JZW33CN, Trustee of the Horace Heidt 1380 Insurance Trust FBO Hildagard Heidt; BARBARA JAOECN & STJSKi'

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Prudential Securities, Inc., (Claimant) v. Salomon Smith Barney, Inc., (Respondent) Case Number: 01-00766 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc. ("Prudential"): James M. Carlson, Esq., Ungaretti & Harris, Chicago, Illinois. Respondent Salomon Smith Barney, Inc. ("Salomon Smith Barney"): Nicholas Berberian, Esq., N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne Marinelli Joseph V. and Marie T. Carone Billie J. Chez Consolidated No.s Name of Respondent/Third Party Claimant Stephen Browere Name of Third Party Respondent Prudential Securities, Inc. d/b/a Prudential-Bache Capital Funding 91-00922 91-00924 REPRESENTATION OP PARTIES Claimants r Joanne Mar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between T Name of Claimant (s) ) William J. Feeples ) ) Case No. 91-00915 Name of Respondent(s) ) F.N. Wolf & Co., Inc. ) Claimant, William J. Peeples ("Peeples") : was pro se. For Respondent, F. N. Wblf & Co., Inc. ("F.N. Wolf"): John S. Barr, Esq. of Maloney, Yeatts & Barr. Statement of Claim filed: March 20, 1991. Claimant's Submission Agreement

Arbitration H.A.S.P. AMMP National Association of NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street In the Matter of the Arbitration Bets«n New York, New York 10004 Qf George C. Nasir 91-00910 A.G. Ecfeaxds & Sons, Inc. John P. Leaner For Claimant George C. Nasir ( "Claimant ") : William C. Drollinger, a sole practitioner. For Respondents A.G. Edwards & Sons, Inc. ("AGESI") and John P. Leaner ("Leaner") : Jeff Jamies

Arbitration National Association of SecuritiM Deators, Inc. NASD Financial Center 33 .Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS fj e JHbrk t N.Y. 10004 FAX (212) 858-4389 CASE /91-00904 AWARD In the Matter of the Arbitration Between Nemchand & Sheila Shah Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, inc. Respondent CASE SUMMARY In a claim filed with the National Association of Secu

N.A.S.D. AWARD NMTCNAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clirlimnt(s) Margaret R. Bruschi Name of PpfmnrvVnt (s) Ken Broun Case No. 91-00902 For Claimant, Margaret R. Bruschi ("Bruschi") : Michael R. Casey, Esq. of Casey & Molchan, P. A. For Respondent, Ken Brown ("Brown") : Adam S. Doner, Esq. of McGee, Jordan, Shuey, et al, P. A. Statanaat of Claim filed: March 19, 1991 and amended on Ju

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Neil R. Hause vs. Case #91-00900 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant, Neil R. Hause ("Claimant"), Richard W. Kearney, Esq. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. ("Merrill") Bryan G. Killiam, Esq. from the law firm Sherin and Lodgen. CASE INFORMATIO