NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Forum Associates. Inc. 93-00657 Name of Respondents Suppes Securities Inc. Eric Huggler REPRESENTATION For Claimant Forum Associates, Inc. ("Claimant"): John J. Villani, of Forum Associates, Inc. For Respondent Suppes Securities Inc. ("Suppes"): Michael N. Karp, Esq., a sole practitioner. Respondent Eric Huggler ("Huggler") represente

NASD AWARD Claimants Bruce Oliver Respondents Charles Schwab & Co., Inc. Case Number 93-00656 REPRESENTATION For Claimant, Bruce Oliver ("Oliver"): Brian Cooke, Esq.of Arastein & Lehr, West Palm Beach, Florida. For Respondent, Charles Schwab & Co., Inc. ("Schwab"): Neil Baritz, Esq. of Boose, Casey, Ciklin, Lubitz, Martens, McEane & O'Cornell, West Palm Beach, Florida. CASE INFORMATION Statement of Claim filed: February 22, 1993. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Steven A. White NASD Arbitration No. 93-00654 cvf Respondent Princeton American Equities, Inc. RFPRFSENTATION For Claimant: Steven D. Marks - Gold, Marks, Ring & Pepper - Los Angeles, California For Respondent: No appearance by respondent CASE INFORMATION Statement of Claim filed: February 23, 1993 Claimant's

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Newton Deiter, Claimant v. Merrill Lynch, Pierce, Fenner and Smith, Inc. and Frederick J. Bothmer, Respondents Case Number: 00-05059 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: - Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondents: Bryan I. Reyhani, Esq. Merrill Lynch Pierce Fen

N.A.S.D., INC. NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Bernard M. Ellis No. 93-00644 Adams Securities, Washington Investment Corp., Michael Richard Waldman REPRESENTATION OF PARTIES Claimant, Bernard M. Ellis was represented by Paul J. Sussman, Esq. of Chicago, Illinois. Respondent, Washington Investment Corp. was represented by Katherine H. Kalinowski, Esq. of Baber & Ka

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. and 93-00641 Name of Respondent Fred E. Hoffman REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Joseph A. Vallo, Esq. of PaineWebber, Inc., Weehawken, NJ. Fred E. Hoffman ("Respondent") was represented by J. William Holland, Esq. of Holland & Holland, Chicago, IL. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant(s\ Stuart and Anita Cole NASD Arbitration No. 93-00640 Name of Respondent(s} Financial Securities Network, Inc. G.R. Stuart & Company/ Inc., Michael Hegarty, and Jeremiah Hegarty REPRESENTATION For Claimants Stuart and Anita Cole: appearance in pro per For Respondent Financial Securities Network, inc.: no appe

^__ N.A.S.D. AWARD NATTONAT ASSOCIATION OF SFr.TTRTTTP pFATPRS. INC. In the matter of the Arbitration Between Name of Claimant Eli Kaminer NASD Arbitration No. 93-00637 of Respondent Development Corporation for Israel RFPRKSENTATTQN For Claimant: Stephen F. Danz, Esq. - E&dno, California For RespondentScott J. Witlin, Esq. - Proskauer Rose Goetz 8c Mendelsohn - Los Angeles, Ca. CASF TNFORMATTON Statement of Claim filediFebruary 22, 1

MODIFIED N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Oppenheimer & Company, Inc. vs. Case # 93-00633 Name of Respondents Brent Harris REPRESENTATION For Claimant: Joseph F. Keenan, Esq. of the law firm of Bochat & Keenan, P.C. For Respondent: Peter Anderson, Esq. of the law firm of Sutherland, Asbill & Brennan. CASE INFORMATION Claimant's Submission Agreement sig

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Diann Cook 93-00627 Name of Respondents Bear Stearns & Co. and Martin Flanagan REPRESENTATION OF PARTIES For Claimant, Diann Cook, at the hearing: Peter B. Shaeffer, Esq., Chicago, Illinois. For Respondent, Bear 'Stearns & Co. at the hearing: Nick lavarone, Esq. of Bellows and Bellows, Chicago, Illinois. For Respondent, Martin