N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith Inc 95-01482 Name of Respondent Nicholas Leone REPRESENTATION For Claimant: John R. Cummings, Esq., in-house counsel at Merrill Lynch Pierce Fenner & Smith Inc. New York, NY. For Respondent: Nicholas Leone appeared pro se. CASE INFORMATION Statement of Claim filed: March 24, 1995.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Paul I. Kleinberg 95-01475 Name of Respondents PaineWebber, Inc. George Keith REPRESENTATION For Claimant Paul I. Kleinberg ("Claimant"), appeared Gary A. Feder, Esq. of the Law Practices of J. B. Grossman, located in Fort Lauderdale, Florida. For Respondents PaineWebber, Inc. ("Painewebber") and George Keith ("Keith"), co

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of 'the Arbitration Between Name of Claimant Thomas Roth 95-01474 Name of Respondent Jordan Belfort Matthew L. Bloom Christopher Finkle Daniel Porush Stratton Oakmont, Inc. REPRESENTATION For Claimant Thomas R. Roth ("Claimant"): Richard C. Szuch, Esq. and Nancy Chung, Esq., of the law firm of Lowenstein, Sandier, Kohl, Fisher & Boylan, Rose

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott, LLC, (Claimant) v. Rock Island Securities, Inc., (Respondent) Case Number: 00-04651 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Janney Montgomery Scott, LLC ("Scott"): Todd D. Brody, Esq., Morgan Lewis & Bockius, LLP, New York, New York. Respondent Rock Island Securities, Inc. ("Rock Island"), hereinafter collectively referre

N.A.SJX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold E. Fox Award No. vs. 95-01468 Name of Respondent Legg Mason Wood Walker, Tnc REPRESENTATION Claimant Harold E. Fox ("Claimant") appeared pro se. For Respondent Legg Mason Wood Walker, Inc. ("Respondent"), appeared John R. Gilner, Esq., In- house counsel located in Baltimore, Maryland. CASE INFORMATION Stateme

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Cheryl A. Hieronymous v. Name of Respondents PaineWebber, Inc., Charles R. Norwood and Mort Brown For Claimant: REPRESENTATION Cheryl A. Hieronymous, Pro Se Bakersfield, California For Respondents: Kathryn L. Krebs, Esq. PaineWebber, Inc. Los Angeles, California CASE INFORMATION Statement of Claim file

RECEIVED JUN 0 5 1996 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimants Frank C. Wong and David C Wong, JTWROS NASD Arbitration v. No. 95-01463 Name of Respondents Matthew Lord, Thomas James Associates, Inc., Chatfield Dean & Co. and Cowen & Company REPRESENTATION For Claimants: Keith Huberman Law Offices of Jeff Deonis Ferentz Newport Beach, Califor

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS- INC. In the matter of the Arbitration Between Name of Claimant Jerry Kelleher vs. Name of Respondents Cartwright fie Walker Dimitri Mishiev NASD Arbitration #95-01455 REPRESENTATION Claimant represented himself. Respondent Cartwright & Walker made no appearance. CASE INFORMATION Statement of Claim filed: March 23,1995 Claimants' Submission Agreement signed: March

In the Matter of the Arbitration Between Name of Claimant 95-01453 Name of Respondent John Thornbloom Tamaron Investments, Inc. REPRESENTATION OF PARTIES Douglas Allen Glaser ("Claimant") was represented by William J. Leone, Esq. and Marc L. Jacuzzi, Esq., Cooley Godward Castro Huddleson & Tatum, Denver, Colorado. Tamaron Investments, Inc. ("Respondent Tamaron") was represented by Brad Ramming, Esq., Overton, Babiarz & Sykes, P.C., Englewood, Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David R. and Shelley J. Miller 95-01451 Name of Respondent A,G. Edwards & Sons, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1995, Claimants David R. and Shelley J. Miller ("Claimants"), who appeared Pro Se, alleged that Respondent A.G. Edwards & Sons, Inc. ("Respond