Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph Greenberg, individually and as Plan Administrator of Joseph H. Greenberg, Ltd., Defined Benefit Pension Trust, and Joseph H. Greenberg, Ltd., Money Pension Trust (Claimants) vs. A.G. Edwards & Sons, Inc., Robert Thomas Securities, Inc., and Robert M. Roney, (Respondents). Case Number: 98-00726 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Joseph Greenbe

PUBUC N.A.S.D. AWARD NATIONAL ASSOCUTION OF SEOIRmES DEALERS In the Consolidated Matter of the Arbitration Between Edward J. O'Connor CONSOLIDATED AWARD John J. O'Connor, Jr. Donald E. Florence 92-01261 92-01275 vs. 92-01280 Name of Respondents Robett Todd Financial Corp. Steven Cloyes Steven G. Kashian CASE SUMMARY In a ciaim filed with the National Association of Securities Dealers, Inc. on April 10, 1992, Claimant Edward J.

1 ' NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter ofthe Arbitration Between Name nf Claimant Stifel, Nicolaus & Company, Incorporated and Names ofResDondems Walter H. Johnson and Gary Tillman Case Number 95-04377 (consolidated with 95-04379) National Association of Securities Dealers, Inc. All Rights Ress^f'^'^^^^ REPRESENTATION OF PARTIES Stifel, Nicolaus & Co., Iiic.("CIainiant") was represente

0{fv :. r-v c N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEFS In the Matter of the Arbitration Between l^ame of Claimant's\ Karen Haines Gabiner, RDiDert & Nancy C. Flaherty, and Flaherty-Haines, Inc. Employee Profit Sharing Plan & Itast 89-03128 89-03133 89-03137 Name of Respondentfs^ Shearson Lehman Hutton, Inc. aad David Asplund CASE saMMor Tn claims filed with the National Association of Securities Dealers,

NATIONAL ASSOCIATION 0? SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Isadore Burstein and Warren Nachmann VS . Claimants O.K. Wallach Options, inc., Wallaoh Group, Inc. and Oavid Wallach Wallach, Inc. VS . Warren Nachmann and Isadore Burstein Respondents Claimant Respondents X X X X X X X X X X X X X X X X X X X X CASE NO. 8

N.A.S.D. AWARD MATICKAL ASSOCIATICM OF SECURITIES DEALERS In the Matter of the Arbitration Between Neuncy B, Duffy and Alan O Ebenstein 89-01276 ?4ame of HPBnr.p(^,^,f Fred Eric deJong Heard before; Herbert Leslie (Sreenberg, Esq. public itonaid L. Caneron Public William E. Shipley Inctustry This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Irx::. ("NASD") on May 1, 1989. Claii

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between '5^ Emanuel and Company Paragon Capital Corporation Name of Respondent Oscar Gniss & Son, Inc. 93-00991 REPRESENTATION For Claimant Paragon Capital Corporation: Michelle D. Wessel of Paragon Capitol Corporation, New York, New York. For Claimant Emanuel and Company: Marie J. Astarita, Esq., New Yoric, New York. For Respondent Oscar Gruss & Son

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter ofthe Arbitration Between Paul Spadafore, and Connie Spadafore, Claimants and Counter-Respondents, V. Michigan Securities & UnderwriTings, Inc., Cantella & Co., Inc., and David L. Alexa, Scott Spadafore, Scott Spadafore, Respondents, Counter-Claimants and Third Party Claimants, V. Third Party Respondent. Consolidated with: Claimant and Counter-Respondent

NOTICE: An award was rendered in this case, but is not available.

N.A.S.D. AWARD NATmNAL ASSOCIATION OF SECURITIES DEALEps Prudcniial Securities Incorporated. Claiinant. V. JelTrcy Kosenben;, Jeffrey Roscnberi;, Respondent. Claimant. V. No. 94-02450 Con»lidatcd with NOL 94-02506 Priideniial Securities Incorporated. Respondent. REPRESENTATION OF PARTIES JefTrey Rosenberg ("Rosenberg") was represented by Seymour S. Rosenberg. Esq., Memphis. Tennessee. Prudential Securities Incorporated