NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between X X Donald L. Massey X Claimant X X vs. X Case #90-02060 X Award PaineWebber, Inc. X Prudential-Bache Securities, Inc. X James A. Scherer X Respondents X X Heard before: Daniel E. Gulden Public Arbitrator Emily Grigsby Public Arbitrator Jack Kucera Industry Arbitrator CASE SUMMARY In a claim filed with the National Associatio

® N.A.O.U. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between"" Name of Claimant'./ a) Michael Stcyka Arbitration National Association of Sacurtttes DMtort, inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale. Florida 33301 (305) 522-7391 Case No. 90-02054 Name . / s \ Michael Novak Russell Herman For Claimant, Michael Stoyka ("Stoyka"): Russell L. Forkey, Esq. of the Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimantfsi Daniel N. Condiles 90-02053 Name of Respondentfs1 Louis Papa Heard before: Richard B. Laden Public arbitrator RE P RE S ENTATION Claimant was represented by Robert J. Donaghy, Esq. of Robert? J. Donaghy & Associates. Respondent was represented by Fred J. Ambrose, Esq. of Ambrose Associates. CASE SUMMARY

Arbitration NASD AWARD National Association of W.A.&.U., -ftKftKu Securities Deaters. Inc. _ _ NASD Financial Center NATIONAL- ASSOCIATION OP SEXJURi'l'IKS DEALERS 33 Whitehall Street _ _ New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212) 858-4389 of Peter P. Janos & Yiannias Petros 90-02052 NameofResjogndents Prudential Securities Inc Bradford Haoerman [JXTJJLH For Claimants Peter P. Janos & Yiannias Petros

N.A.5.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdate, Florida 33301 (305) 522-7391 Sharad P. and Pamela K. Wavde of William Beson CASE #90-02051 Heard before the arbitrator: Philip F. Ludovici, Esq. Public This claim was initiated by a Statement of

N.A.S.D. AWARD •V NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Marie E. Sexauer Claimant(s) and 90-02050 IDS Financial Services Inc. Blair Witt Ron Eichoff Priscilla Vfoodley Respondents) Claimant Marie E. Sexauer appeared pro se and was assisted by her son, Richard J. Itoppert and her daughter, Jean K. Tipton. Respondents IDS Financial Services, Inc., Blair Witt, Ron Eichof f and Prisci

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael A. Jones, Claimant v. Hampton Securities, Inc., Patrick A. Anthony, Capital One Securities, Inc., and Karen E. Fuller Respondents Case Number: 00-04522 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Burke W. Willsey, Esq. Law Office of Burke W. Willsey Pasadena, California For Respondents Hampton Securities, Inc., and Lawrence

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE f90-02048 AWARD In the Matter of the Arbitration Between Irene Deptuck Claimant vs. Kenneth Richards Respondent CASE SUMMARY Irene Deptuck, in a claim filed with the National Association of Securities Dealers, Inc, on July 24, 1990, alleged that Respondent and broker, Kenneth Richards, misrepresented the growth potential of her CEA Laboratory stock and was negligent in managing

/VAST? ^^ • ^T^^*V^ National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard and Mary virgile vs. 90-02043 Name of Respondent Robert Todd Financial Corp. For Claimant: Pro se. For Respondent: Alphonse Mekalainas, Compliance Officer. CASE TNEQRMK

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Name of Claimant: James J. Campbell vs. Name of Respondents Shearson Lehman Mutton, Inc. Barry Clancy Case # 90-02036 For Claimant: Edward F. Haber, Esq. of Shapiro Grace & Haber. For Respon