N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth F. Collins 93-01478 Name of Respondents Raymond, James & Associates, Inc.; Hart Securities, Inc.; John Husbands REPRESENTATION For Claimant: Kenneth F. Collins ("Collins") was represented by Geoffrey H. Bracken, Esq. of Sewe & Riggs, Houston, Texas, and Walter T. Weathers, Esq., of Houston, Texas. For Respondent

-^ NJLSJX AWARD NATIONAL ASSOIATION OF SErURlTTFS In tnc matter of the Arbitration Between Nam* if Robbios General Contractors, Inc. NASD Arbitration No. 9341473 Merrill Lynch Pierce Fenner tc Smith, Inc. For Claimant! Ruth A. Lee - Rabbins General Contractors, Inc., - San Francisco, Ca* For Respondent; David J. Romaoski, Esq. - Steinhart 8e Falconer - San Francisco, Ca. Statcnwra of Claim fikcfcApriJ 14, 1993 Claimant's Submission Agreement

JUL-06-1995 16:02 FROM TO 1212B5Q4429 P.BB/16 NJLS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name &.J. & Jacquelyn D. Walton art 93-01466 All-Tech Investment Group, Inc. and Randall Frakes REPRESENTATION OF PARTIES RJ. & Jacquelyn D. Walton ("Claimants*) failed to appear at the hearing and were not represented by counsel. All-Tech Investment Group, Inc. ("Respondents") was represen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimants Robert M. Goolrick 93-01465 Name of Respondents Shearson Lehman Brothers. Inc. (n/k/a Lehman Brothers. Inc.) REPRESENTATION For Claimant Robert M. Goolrick ("Claimant"): Claimant appeared Pro Se. For Respondent Shearson Lehman Brothers, Inc. ("Respondent"): John E. Jenkins, Associate General Counsel at Lehman Brothers, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants vs. Name of Resondents ^ NASD No. REPRESENTATION For Claimant: For Respondents: A ^ CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondents on: Respondents' Submission Agreements signed on - &/< M3. 93-01463 P9

NATIONAL ASSOCIATION OF SECURITIES DEALERS Malcolm E. Erickson 93-01462 of Respondents Lew Leiberbaum & Co., Inc., Bear Stearns Securities Corp., and Howard Hockman. REPRESENTATION OP PARTIES For Claimant at the hearing: Pro Se: For Respondents, Lew Leiberbaum & Co, Inc. and Bear Stearns Securities Corp., at the hearing: Jay Mark Israel, Esq. and Leonard A. Neuhaus, Esq. of Lew Leiberbaum & Co., Inc., Garden City, New York. For Responden

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Martin Boyer, Trustee, U/A DTD 3/1/85 Mary L. Boyer, Trustee, U/A DTD 12/28/88 Martin Boyer Mary Boyer Names of the Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Kevin Cooper David Mowry Case Number: 00-03643 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James T. and Selwyn Matthews Case # v. 93-01456 Name of Respondents F.N. Wolf & Co., Inc. Stanley H. VanEtten John Brothers v. Name of Third-Party Respondents Franklin N. Wolf John E. Dell James R. Guntle John Csenge REPRESENTATION For James T. and Selwyn Matthews ("Claimants"), Michael D. Hurst, Es

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Richard B. and Mary M. Tongue 93-01441 Name of Resoondentfs) Keith Aufhauser Peter Theodoreilis REPRESENTATION For Claimant: Richard B. Tongue. For Respondent Keith Aufhauser: Keith Aufhauser. For Respondent Peter Theodoreilis: Diana Armenakis, Esq. of Armenakis & Armenakis. CASE INFORMATION Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey R. Anderson 93-01439 Name of Respondents A. G. Edwards & Sons, Inc. and Paul Bishop REPRESENTATION OF PARTIES For Claimant, Jeffrey Anderson, at the hearing: Vincent D. Louwagie, Esq. of Fruth & Anthony, P. A., Minneapolis, Minnesota. For Respondent, A.G. Edwards & Sons, Inc., at the hearing: Clay Grumke, Esq. of A.