N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Stephen A. Kohn Chester J. Hebert and 93-01245 Name of Respondents U.S. Securities Clearing Corporation A. James Miranti Steven Scott Maxie Jimmy Villalobos REPRESENTATION OF PARTIES Stephen A. Kohn and Chester J. Hebert ("Claimants") were represented by John Fogerty Winston, Esq., Englewood. Colorado. U.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brian Estes 93-01240 Name of Respondents Shearson Lehman Brothers, Inc.,n/k/a Smith Barney Shearson Inc.; James Magruder REPRESENTATION For Claimant: Brian Estes ("Estes") was represented by Firmin A. Puricelli, Esq. of St. Louis, Missouri. For Respondent: Shearson Lehman Brothers, Inc., n/k/a Smith Barney Shearson Inc.

NASD Arbitration No: 93-01237 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Gulzar Vali Name of Respondents U.S. Securities Clearing Corporation W. Brady Houghton REPRESENTATION For Claimant: J. Jeffrey Morris, Esq. - Santa Monica, California For Respondents: In Pro Se CASE INFORMATION Statement of Claim filed: March 30, 1993 Claimants' Submission Agr

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITTFS DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Manuel and Laura Rosen, individually and as Trustees vs. Name of Respondents Paine Webber, Inc. Thomas Candelaria NASD Arbitration No. 93-01236 REPRESENTATION For Claimants: James C. Krause, Esq. • San Diego, California For Respondents: D. Scott Macrae, Esq. * Coronado, California CASE INFORMATION Stateme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DFAI.FRS Grant Dean Buick Retirement Trust, Robert Andrea, Trustee Claimant, v. No. 93-01232 Hamilton Investments, Inc. Respondent. REPRESENTATION OF PARTIES For Claimant: Mitchell L. Perlstein, of Parker Perlstein & Co., Boca Raton, Florida. For Respondents: Rosemarie J. Guadnolo, Esq., of Horvath & Lieber, P.C., Chicago, Illinois. CASE INFORMATION Statement of Claim filed on or abou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant First of America-Security et al. 93-01228 Name of Respondents First of Michigan Corporation Sam J. Galanis REPRESENTATION For Claimant: Marc E. Thomas, Esq. of Bendure & Thomas For Respondent: Michael P. Coakley, Esq. of Miller Canfield, Paddock and Stone CASE INFORMATION Statement of Claim filed: March 26, 1993

SENT BY: 1- 3-34 ; 12:15PM ;\ASO ARBITRATION DP1> -12 £58 4141 ;# 5/22 -—_ MA.S.D. AWARD NATIONAL ASSOCIATION OF SFrTTRJTrES nKALFRS. INC. in the matter of the Arbitration Between Name nf Prudential Securities Incorporated Arbitration No. 93-01219 Mam* nf Regpnnrignc Cameron Conant and M.G. Palencia, JTWROS For Claimant: Joseph M, McGill, Esq. and Martin Hunger, Bsq* f Prudential Securities Incorporated, New York f Mew York ?

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Herben D. Sturman and Raymond Shainberg, Co-Executors of the Estate of Louis Sturman, Claimants, v. No. 93-01218 Shearson Lehman Brothers, Inc., W. Jack Hines, Jr., and James D. Siegfried, Respondents. REPRESENTATION OF PARTIES J. Alan Hanover, Esq., and Donald S. Holm, III, Esq., of Hanover, Walsh, Jalenak & Blair, Memphis, Tennessee, represented Herbert D. Sturman and Raymond Sh

PUBLIC N.A.S.D. AWnSD NATIONAL ASSOCIATION OF SECURITIES DEALERS In th* Matter of the Arbitration Between Name of Claimant Teresita Angela Da Silva 93-01202 Name nf Ttestvuifanfl Sutro & Co., Incorporated CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 29, 1993, Claimant Teresita Angela Da Silva, who appeared Pro Se, alleged that Respondent Sutro & Co., Incorporated, through its representa

N.A.ff.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jack and May Leiner 93-01196 Name of ^Respondents Alex. Brown & Sons, Incorporated Stephen Gritzan REPRESENTATION For Claimants Jack and May Leiner ("Claimants") were represented: Charles Bagley, IV, Esq. of the law firm of Council, Baradel, Kosmerl & Nolan, P.A. For Respondents Alex, Brown & Sons, Inc. ("Alex. Brown") wa