N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SFr.URTTTFS DEALERS. INC. In the matter of the Arbitration Between Sultan Haque NASD Arbitration No. 93-01725 Spear Rees & Co. Thomas Rees For Claimant: REPRESENTATION Jeffrey W. Cowan, Esq., Kendig & Ross, Los Angeles, California For Respondent & Third-Party Respondent: Mark T. Drooks, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angeles, California CASEJNFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Clark and Lois Bono Clark Bono IRA Lois Bono IRA Clark Bono 93-01724 Name of Respondents First Albany Corporation Ken Tobias REPRESENTATION For Claimants Clark and Lois Bono, Clark Bono IRA, Lois Bono IRA and Clark Bono, individually (collectively referred to as "Claimants"): Jeffrey A. Sellers, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ida B. Woodward Name; of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Ronald L. Smith 93-01721 CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on April 29, 1993, Claimant Ida B. Woodward, who appeared Pro Se, alleged that Respondent Ronald L. Smith

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David Hecht MODIFIED AWARD 93-01720 Name of Respondent Hibbard Brown & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 29, 1993, Claimant David Hecht, who appeared Pro Se, alleged that Respondent Hibbard Brown & Co., Inc., through its registered representative, Gary

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Dean Witter Reynolds Inc. 93-01719 Name of Rcspondcnt(s') Neil Bauman REPRESENTATION For Claimant: Erica Bunin, Esq. of Dean Witter Reynolds, Inc. For Respondent: Stephen X. O'Brien, Esq. of Culley, Marks, Tanenbaum, Reifsteck, Potter & Capell. CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreeme

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Stephen Rakower, Claimant v. Laidlaw Global Securities, Inc. and Sanjay S. Mody, Respondents Case Number: 00-03666 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Michael C. Rakower, Esq. Latham & Watkins New York, New York For Respondents: Marc S. Gottlieb, Esq. Law Offices of Marc S. Gottlieb New York, New York CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AT.FRS. INC. In the matter of the Arbitration Between Name of Claimant^ Clarence L. Healy Dolores M. Healy NASD Arbitration No. 93-01715 Name of Respondent fs) Kcber Firidiic^ai Corp. Cohig & Associates, Inc Richard M. Gawlik Harvey F. Levin Peter N. Bowinski REPRESENTATION For Claimants: Bruce I. Garfield, Investors Arbitration Services, Inc., Woodland Hills, Californi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Nordan 93-01713 Name of Respondents Shearson Lehman Brothers, Inc. Jonathan S. Goid Robert Finkelstein Jody Eisenman REPRESENTATION For Claimant: James P. Murphy, Esq. of Berry, Moorman, King & Hudson. For Respondents, Shearson Lehman Brothers, Inc., Jonathan S. Gold, Robert Finkelstein and Jody Eisenman: Joh

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christine Lybrand Case # vs. 93-01708 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Norman T. Covar REPRESENTATION For Claimant: Randal Johnson, Esq., located in Charleston, South Carolina. For Respondent: Jessica J-M Hagen, Esq. of Rogers & Hardwin, located in Atlanta, Georgia. CASE INFORMATION Statem

GRMH037.X01 327525980 OS/05/94 MG:bs1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lucille E. Martin vs. NASD #93-01706 Crowe 11, weedon & Co. For Claimant: Dennis G. Merenbach, Esq.; and J. Leo Federman of Investor's Rights Association For Respondent: John A. Blue, Esq. and Kevin P. Farmer, Esq. of Adams , Duque & Hazeltine CASE INFORMATION Statement