4fe NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Claramae R. Jones Claimants ) Case Number 93-01333 Quest Capital Strategies, Inc. ) Respondents REPRESENTATION Claimant, Claramae R. Jones ("Jones"): Phillip J. Snyderburn, Esq. of Snyderburn, Rishoi & Swann. Respondent, Quest Capital Strategies, Inc. ("Quest"): Barry Jacobs, Esq. of the Law Office of Barry J. Jacobs. CASE INFORMATION Statement of Claim filed: April 1, 1

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Andrew and Eleanor Sopko, Eleanor Sopko Trust 93-01322 Name of Respondents A.G. Edwards & Sons, Inc. John R. Shipman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 2, 1993, Claimants Andrew and Eleanor Sopko, who appeared Pro Se, alleged that Respondent A.G.

A _ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFCURITp?^ HFAT FRS. IT- In the matter of the Arbitration Between Name of Claimant Seidler Amdec Securities, Inc. NASD Arbitration No.93-01316 Name of Respondent Sperber Adams & Company RFPRFSFNTATIQN For Claimant: Arthur L. Sherwood, Esq., Gibson, Dunn & Crutcher, Los Angeles, California For Respondent: Lewis J. Sperber, Sperber, Adams & Company, Westport, Connecticut r ASF. INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Randall S. Cotner 93-01313 Name of Respondents J.W. Gant & Associates Pam Smith Haraburda Linda Speare if CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 2, 1993, Claimant Randall S. Cotner, through his counsel, Russell L. Forkey, Esq., Deerfield Beach, FL, alleged th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Name of Respondent Raymond Minicucci 93-01301 REPRESENTATION For Claimant Prudential Securities, Inc. ("Claimant"): Richard A. Miller, Esq. of the law firm of Katten Muchin & Zavis located in New York City, New York. For Respondent Raymond Minicucci ("Respondent"): Stephen B. Wexler, Esq. of Wexl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Edward Avedisian vs. Case #93-01291 Name of Respondent Spartan Brokerage/Fidelity Brokerage Services, Inc. REPRESENTATION ^^ Claimant, Edward Avedisian ("Claimant"), was not represented by counsel. For Respondent. Spartan Brokerage/Fidelity Brokerage Services, Inc. ("Fidelity"), David C. Boch, Esq. from the law firm of Bingham,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter M. and Bertha Sniady 93-01290 Name of Respondent Pacific Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 1, 1993, Claimants Peter M. and Bertha Sniady, who appeared Pro Se, alleged that on January 25, 1993 they called Respondent Pacific Brokerage S

f- -•** N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Nichols Barrett and Roberta Barrett 93-01284 Name of Respondents Stephen D. Regan Don R. Porter REPRESENTATION For Claimants Nicholas and Roberta Barren ("Claimants"): They appeared pro se. For Respondents Stephen D. Regan ("Regan") and Don R. Porter ("Porter"): Jonathan P. Dyer, 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 Claimants Judith W. DiGiovanni Capital Tile Co. Employee Benefit Plan Capital Tile Co., Inc. 93-01283 Name of Respondents Shearson Lehman Brothers, Inc. John Moy Judith W. DiGiovanni and R. T. DiGiovanni REPRESENTATION For Claimants Judith W. DiGiovanni ("Ms. DiGiovanni"), Judith W. DiGiovanni and R.T. DiGiovanni, Trustees F

f Award NASD Dispute Resolution In the Matter of the Arbitration Between: PaineWebber Incorporated, (Claimant) vs. Steven L. Aaron, Stephen M. Fell as Trustee of the JTA Trust No. Three, Joshua Aaron as Beneficiary of the JTA Trust No. Three, and the JTA Trust No. Three, (Respondents) vs. Gail Bliss, J. Richard Schultz, and Jeffrey Wetherbee (Third- Party Respondents) Case Number: 00-03612 Hearing Site: Albany, New York REPRESENTATION OF PARTIES