N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of C1aimanc F. Leroy Sater No. 93-00625 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION OF PARTIES For Claimant: Barry Estell, Esq. and John Miller, Esq., of Nygaard & Associates, Overland Park, Kansas. For Respondent: Richard Kelly, Vice President, Associate General Counsel, Kidder,, Peabody & Co., Incorporated, New York, New York. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Martha E. Hill 93-00619 Name of Respondent Dominick Investor Services Corp. (n/k/a Dominick & Dominick, Inc.) DeRand/Pennington/Bass Tamyl Dunwoody REPRESENTATION For Claimant Martha E. Hill ("Claimant"): appeared pro se For Respondent Dominick Investor Services ("Dominick"): William J. Bethune, Esq. of the law firm of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Shirley L. Barto and Leon D. Barto Case No. 93-00614 Name of Respondent^ Pmdential-Bache Securities Inc. John Emery Prudential Insurance Company of America Richard McFarren REPRESENTATION For Claimants, Shirley L. Barto and Leon D. Barto (the "Bartos"): George W. Papp, Melbourne, Florida. For Respondents, Prudentia

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lau Hat Cheong and Man Chi Pun, Claimants v. Adolph Komorsky Hoffman & Associates, Ltd., Donovan Lazar, Mark E. Komorsky, Francis Richard Fletcher, Helen S. Hoffman, Adolph Peter Williams, and Bear, Stearns Securities Corporation, Respondents Case Number: 00-05058 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: Timothy A. Canning, Esq. Ir

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Phillip H. Sturtevant r Executor/of the Estate Of Flora P. Edgar 93-00613 Name of Respondents Marion Bass Securities corporation Jeff Roy REPRESENTATION For Claimant Phillip H. Sturtevant f Executor of the Estate of Flora P. Edgar ("Claimant") : Kevin J. Osterkamp of the law firm of Roetzel & Andress, L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant John J. Bariie 93-00610 Name of Respondent^ A.G. Edwards & Sons, Inc. Roger M. Stevenson REPRESENTATION For Claimant: Jeffrey A. Sellers of Silverberg, Yood, Sellers & McGorry. For Respondent: William s. Port, Esq., in house counsel of A.G. Edwards , CASE INFORMATION Statement of Claim filed: February 16, 1993. Clai

N.A,S.D n AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Raymond and Dorothy Rimkus No. 93-00607 of Respondents D.H. Blair & Company Steve Markowitz Al Wardi Joseph Sorbara REPRESENTATION OF PARTIES For Claimants: James J. Moylan, Esq. of James J. Moylan & Associates, LTD., Chicago, Illinois, and J. Michael Fitzsimmons, Esq. of Fitzsimmons, Roberts and Paine, Oak Brook, Illinois. For Respondent D. H. B

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James H. Sullivan et al. Vs. AWARD Case #93-00604 Name of Respondents Shearson Lehman Brothers, Inc. Charles C. Kerl CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 18, 1993, Claimant James H. Sullivan by and through his counsel Gregory L. Wilmes of Briol &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Richard and Ann Stonefield vs. Case #: 93-00602 Name of Respondent Gruntal & Co. / .1 REPRESENTATION For Claimants, Richard and Ann Stonefield ("Claimants"), Evan Slavitt, Esq., from the law firiL of Hinckley, Allen and Synder. x For Respondent, Gruntal & Co. ("Gruntal"), Emilia M. DeMeo, Esq., in-house counsel. CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Stephen C. Perrone 93-00596 Bear Stearns & Company, Inc. Victoria R. Abrams REPRESENTATION For Claimant: Brian J. Isaac, Esq. of the law firm of Pollack Pollack Isaac & DeCicco. For Respondents: William C. Mallery, Esq. CASE INFORMATION Statement of Claim filed: February 17, 1993. Reply to Counterclaim filed on June 18, 1993. Reply to t