N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUIUTIES DEALERS In the Matters of the Arbitrations Between Jeny Wade Name of Respondents IDS Financial Services, Inc., IDS Life Insunuice Company, IDS Securities Coiporation, and II>S Financial Coipoiation IVflmft nf < ;!lftimai^tp IDS Financial Services, Inc., and IDS Life Insurance Company Niy^ nf Respondent Jeny Wade 94-04066 EXPEDITBD ARBTTRATKON (consotidated with 94-04258) 94-

AWARD - if DEC 14 loop NASD Regulation, Inc. * ™° In the Matter of the Arbitration Between Name of Claim ant Joseph R. VuUo and - . 98-00702 Name of Respondent Waterhouse Securities ~ N OF PARTIES Joseph R. Vullo ("Claimant") appeared on his own behalf. Waterhouse Securities ("Respondent") was represented by Barry Willits, Esq. of Lewis and Roca LLP. • ' INFORMATION Claimant filed the Statement of Claim on or about February 2

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claim © National Association of Securities Dealers, "nc J. Gregory & Co., Inc. All Ri^ts Reserved Name of Respondents Jason D. Nuss 94-03040 (consoHdated with 94-03706) Name of Claimants Jason Nuss and Jeffrey Nuss Name of Respondents J. Gregory & Company, Inc.; Vincent Mongno; and Dianne Borden REPRESENTATION

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DONALD GRENDAHL, MARK GRENDAHL, 1 THOMAS LEIVIORANDE, CON YAGODZINSKI, aVDE TRUDEAU, RAY FORMANEK, VIRGINIA RIUTTA, RUSSELL AND FLORENCE GRENDAHL, BETTY HANSON, PHILLIP AND DEBRA GRENDAHL SANDI GOETZE, KEITH OLSON Claimants and CONSaiDATED CASE NOS. 90-00495, 90r0fi&72. 90-00673, 90-00674, JJOZHH!] 88-02472, 88-02473, 88-02469, 88-02475,

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

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, Claimant v. James R. Zalcman, Respondent Case Number: 98-00696 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, PaineWebber Incorporated, hereinafter referred to as "Claimant": Amy Bard, Esq., in- house counsel, Weehawken, NJ. Respondent, James R. Zalcman, hereinafter referred to as "Respondent": Lawrence C. Zalcman, Esq., Bonin & Zalcman, B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ArDitracion Between Name of Claimant Lovett, Mitchell, Webb < s.- Garrison, Inc. and Name o£^ Respondent(s) James R. Cleveland Susan Zapalac William T. Cone No.s; 89-02941, 89-02962, 89-02963 REPRESENTATION OF PARTIES For Claimant: Julie Wilkerson, Esq. For Respondents: Gary S. Gunn, Esq. CASE INFORMATION Statements of Claim filed: on or ab

89-00988 (consolidated with 89-00999) N.A.S.D. AWARD ^D^no^^RL ASSocL^mcN OF sna'pJTiES DEALERS In the ^5atter of the Arbitration Betveen NamP of n;yinant«i/rrainter-Rg>5PmYten^c; Kevin & lharesa Cooney 8S-00988 Marrill Lynch, Pierce, Foiner & anith. Inc. Broadcort Capital Corporation First Affiliated Securities, Inc. J. Patrick Bohn of f;iaiiTiant/roun;pr-R< >sty)nften^, David W. Cooney Name of R^c^ynrytonj-g^rm^T

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 Claiinant Respondents X X X X X X X X X X X X X X X X X X X X CASE NO.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the ArDitracion Between Name of Claimant Lovett, Mitchell, Webb < s.- Garrison, Inc. and Name o£^ Respondent(s) James R. Cleveland Susan Zapalac William T. Cone No.s; 89-02941, 89-02962, 89-02963 REPRESENTATION OF PARTIES For Claimant: Julie Wilkerson, Esq. For Respondents: Gary S. Gunn, Esq. CASE INFORMATION Statements of Claim filed: on or ab