N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00676 James A. Fey and Nancy E. Fey, claimants vs. Rickel & Associates, respondent. ATTORNEYS: Claimants appeared Pro Se, NaperviUe, IL. For Respondent Appeared Catherine A. Helwig, Esq., of the firm, Snow Becker Krauss, P.C., New York, NY. DATE FILED: February 20, 1998 CASE SUMMARY: Claimant alleged that respondent failed to execute a sell order for 1000

CONSOLIDATED CASE N.A.S.D. AWARD NATIONAL ASSOCI ATI ON OF SECURITIES DEALERS In the Matter of the Albitiation Between Wilfit L. Crews 94-04044 D oy I e E. El I i ott & Betty J. EUiott 94-04221 Lois L.Major 94-04222 Willis L. Wright & Dorothy E. Wright 94-04223 Name-s of Respondents: Merle B. Grss Angel Munoz JarrES Miranti, Sr. Third Party Respondents: US clearing Securities Corp. Kohn, Herbert & Associates Chester Herbert

N.A.S.D. AWARD NATIONAL A,^SQCIATION OF ?>ECURITIES DEALERS. INC. In the matter of the Arbitration Between Niaime of Claimanl Kemper Securities, Inc. NASD Arbitration #94-03957/J!^4-03964 vs. Name of Respondent.'; Ray Anderson N. Lee Kearney, Jr. Harry A. McCoy Thomas G. Tripp REPRESENTATION For Claimant: Ronald Kane, Esq., and Diane C. Fischer, Esq., Siegan Barbakoff Gomberg iSc Kane, Ltd., Chicago, Tii-innrig For Respondents

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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 In the Matter of the Arbitration Between Name of Claimants Douglas C, Lindgren, Donna M. Mattson, Wayne R. Clausen, Thomas King and Nicole King 94-02786 (Consolidated with 94-3577 & 3851) Name of Respondents Paul Richard Lewis, vHamilton Investments, Inc., and Craig Hallum, Inc. Name of Counterclaim ants Paul Richard Lewis, Hamilton Investments, Inc., and Craig Hallum, Inc. Name of Cou

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edward Lipson Name of Respondents Smith Barney Shearson, Inc. Scot Alexander Kagan 94-03029 Consolidated WUh In the Matter of the Arbitration Between Name of Claimant & National Association of Securities Deafers, Inc. All Rights Reserved Ronald Lipson Name of Respondents Smith Bamey Shearson, Inc. Scot

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Frederick A. Signore and Linda A.Signore, Elvira Signore, Kevin A. Signore and Virgil Signore 94-01093 94-01959 Name of Resuondents 94-02813 94-02828 Shearson Lehman Brothers, Inc. Andre Yoshua Weiser Kenneth Dorm Name of Third Partv Resuondent Cresenzo Signore REPRESENTATION Claimants Frederick A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunants John R. Meares Helen A. L^BDBS CONSOLIDATED AWARD 93-03281 c& 93-03264 Name of Respondents Wilshire Discount Securities Robert Scott Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1993, Claimant John R. Meares, who appeared Pro Se, alleged that Re

N.A.S.D.AWARD NATIONAJ. ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Merrill Lynch, Pierce, Fenner Sc Smith, ]nc, Name nf Resnoi^f^ent Brian Anthony Kirk In the Matter ofthe Arbitration Between Name of Claimant Brian Anthony Kirk 92-01699 (consolidated with 9343095) Name nf Resnondent Merrill Lynch, Pierce, Fenner Sc Smith, Inc.; Irving Silver; and Randall Gibbs RKPRKSENTATION For Claimant/Respo