N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Consolidated Cases 93-00830 93-02454 In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Name of Respondent Jay Rodin REPRESENTATION For Claimant Prudential Securities, Inc.: Jill A. By me, Esq. ofthe law fim cif Kutak Rock located in Washington, D.C. BbrRespondent Jay Rodin ("Respondent"): Sheldon M. Goldman, Esq. ofthe law fim of Wien, Mal

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00675 Matthias A. Behling, claimant vs. Trautman Kramer & Co., Inc. and Thomas King, respondents. ATTORNEYS: For claimant appeared Douglas R. Lally, Esq. - Jenkintown, PA. For respondent Trautman, Kramer & Company, Inc. appeared William H. Arcuri - New York, NY. Respondent Thomas H. King appeared Pro Se - Mt. Laurel, NJ. DATE FILED: 2/20/98 CASE SUMMARY: Claimant alleged breach of fiduciary duty, unsuit

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Consolidated Matter of the Arbitration Between Name of Claimants Ramon C. Evenson & Shelly Siemering ^-00375 & 93-0(B76 Consolidated Award Name of Respondent Dean Witter Reynolds Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1993, Claimants Ramon C. Evenson and Shelly Siemering, by and through their counsel,

NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Kenneth & Brooke Findley and 96-05480 Name of Respondents Dain Bosworth, and David Nelson, Jr. Consolidated with Name nfClaimants Kenneth & Brooke Findley and 96-05533 Name of Respondents PaineWebber, Inc., and David Nelsofi, Jr. REPRESENTATTON OF PARTIES Kenneth and Brooke Findley ("

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. Name of Respondent Philip R. H. Connor, III 96-04884 Consolidated With In the Matter of Arbitration Between Name of Claimant Prudential Securities, Inc. 96-04886 Name of Respondent Anastasio Carayannis REPRESENTATION For Claimant Prudential Securities, Inc. ("PSI" or "Claimant") appeared Stephen Rattner, Esq.

AWARD NASI) REGULATIO.N. I\( .. OFKICfi OF IMSPIITK RKSOLVTION In the matlt-T of the Arbiiraiion Between N'ltnie of C'lLiiniunl Bveren Sccurilies. Inc, V, Aibilr^tion No. 96-04205 Niunc of Respondents James D. Rollerson Joseph G. Oeracc RKPRKSENTATION For Cluimani; Diimne C. Fischer. Esq. Gomberg Kane &. Pishcr. Ltd. Chica< !0, Illinois For Respondent James D. Roliers(>n: James D. Rollerson In Pro Per Sunia Moui

NASD Regulation, Inc. Award NASD Regulation, Inc. OfiSce of Dispute Resolution In the Matter of the Aibitration Between Daniel Schmitz, Executor of The Estate of Morris Schnrutz, and Robert Jurgensmeyer Claimants, vs. Vision Investment Group, Inc. Cantella & Co.» Inc., Cantella Management Corp., Vincent Cantella, Mchael CoruUa, Paul Caruso, Kevin Scott Horn, Gerald Powers, and Christopher Wolf, Respondents. CONSOLIDATED

N„A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. NC . I n the Matter of the Aroitration B^ween Name of Claimant J. Edmund & Co. ana 93-00015 (ConsoUdated with 93-00105) Name of Respondents VTR Capital, Inc. Regis D. Dahl Name of Claimants VTR Capital. Inc Regis D. Dahl and 93-00105 Nare of Respondents J. Edmuna & Co. Jelco, Inc. and John E. Ligums REPRESENTATION OF PARTIES J. Edmund & Co., Jelco. Inc.. and

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, In the Matter of the Arbitration Between Name of Clainfiant Krikor Naccachian 96-01562 AmSouth Investment Services, Inc. 96-03623 In che Matter of the Arbitration Between Name of Claimant AmSouth Investment Services, Inc. Name of Respondent Krikor Naccachian KEPRESENTATION For Krikor Naccachian ("Naccachian"), Claimant and Counterrespondent in Cas

AWARD NASD REGUT.ATTON INC.. OFFICE OF DISPUTE RESOLUTION In the matter cf the Arbitration Between Name nfClaimanrfO Christopher Turnbull (#96-03521) Ann Delaware (#96-03565) V- Award Consolidated Cases Name nf Respondentr.s) #96-03521/#96-03565 La Jolla Capital Corporation Florence Sarah Pollard Daniel Winter Harold B. Gallison, Jr. REPRESENTATION For Claimants: Arthur S.Leider Investors Arbitration Specialists San Diego,