-IAT i Zl^AL A5SCC Z A x I ~ ^^ S -Z'JRZ'ZZZS ~ EALz,R3 , . MC . :M "HE MATTER :F THE .ARBITRATICNS BETWEEN FIRST MONTAUK SECURITIES CORP. FIRST MONTAUK FINANCIAL CORP., CLA::4AiNTS ':• CASE NOS. 91 - 03 8 95 lARCLE CERSTENBLoTH, \ 91-03896; and 91-33397 EDWARD GLUECK, JUDITH GLUECK, ] 'consolidated) JULIUS SCHREIBER, HELEN :• SCHREIBER and PAUL R. ' AWARD 3Y CONSENT RESPONDENTS CASE SUT^MARY Claimants, First Moncauk Secu

PUBLIC NATIONAL ASSOCIATION .OF SECURITIES DEALERS, INC. 0^ In the Matter of the Arbitration Between Verdis Cook vs . Kober Financial Corp, Dan Ratts Deborah Neuner AWARD Claimant CASE #91-01703 Verdis Coolc vs. Kober Financial Corp .S: Dan Ratts Consolidated with CASE #91-01704 Verdis Coolc vs. Financial Corp & Respondents Deborah Neuner CASE SUMMARY In a claim filed with the National Association of Secu;rities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiig^nts jQazme Marirzelli Joseph V. and Marie T. Carone Billie J. Chez Consoii(3ated No«s Name of Respondent/Third Party Claimant Stephen Browere 91-00922 91-00924 Name of Third Part:v Respondent. Prudential Securities, Inc. d/b/a Prudential-Bache Capital Funding PBPPgSBHttATiQW OF PABTIBS Claimants, Joanne Marin

StM flYHbSb, H. c. ; tf-su-isi ' y:t)bAM ; eoif4a3Si!is-» 3iz ^aa Hindis i V.&.S.D. AWARD HATIONAIi ASSOCIATION OP BECDSITIES DEALERS Tn the Hattar of t&e Arbitration B«tV6*n Intu^oBt, Ltd. 90-03643 USAA lnv««tnent Managaaant ConpMiy muuumxxfla Dr. Bill Cleverlyr Praaidant, appaorad on bahalf of Claiaant XntfiorVaatr Ltd., a/k/a < 2yXr Ltd. DSAA Invaatment Managamant Conipany was rapreaented by Frank H» Marley, Jr., Aaalatant Vida Praaldant, S

PUBLIC NATIONAL ASSOCIATION OF SECL'RITISS DEALERS, IMC, In a Consolidated Matter of the Arbitration Between John R. Parisen, Thomas E. Messina and Michael A. LaRossa Claimants vs . Royce Park Investments, Inc. Michele Palermo R^^poj^deti^s CASE #90-03276 AHARD John R, Parisen vs . Royce Park Inve s tments and Michele Palenno CASE #90-03277 AWARD Thomas B. Messina vs. Royce Park Investments and Michele Paler

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Edward A. Augustine Case Number and 98-00648 Name of Respondent Marcial F. Chiong, Jr. REPRESENTATION OF PARTIES Edward A. Augustine ("Claimant") appeared pro se. Marcial F. Chiong, Jr.("Respondent") appeared pro se. CASE INFORMATION Claimant filed the Statement of Claim on February 11, 1998. Claimant signed the Uniform Submission Agreement on M

N.A.S.D. AMARD NATICMAL ASSOCIATZCN OP SBCDRITZES DEAI£RS la the Matter of the Arbitration Between l^D^^daimmts Katharine Irons, David J. Erlckson, and Ken P. Huzzay Namw of Respondents Greentree Securities Corporation Bemice Lemer Michael Kott Solanon Welnstein JUL 2 8 90-01274 consolidated vd.th 90-01275 and 90-01276 For daimants: Thomas H. Dahik, Esq. of Lieben, Dahlk, Hhltted Houghton, Slowlaczek & Jafan, P.C. Qnaba, Nebras

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) DONALD GRENDAHL, MARK GRENDAHL, 1 THOMAS LEMORANDE, 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,

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In tJie Matter of the Arbitration Between Name of Claimant Dean Witter R^ixidls, Inc, mSLQf Respondent George Collich Region. Year j/ 89-02685 In Inc. ( ) on or about September 26, 1989, rJean Witter Reynolds, . ("Claiimant") alleged that George Collich ( Respondent") executed a pronissory note and has refused to pay pursuant to its terrrs. In his ^^VB^^er and Count

N.A.S.D. ;^HARD NATIONAL i^SSOCIATXGN OF SECURITIES OEKIZRS In the Matter of the Acbitration B6t>«wi Casey E. Luna and Beverly Luna Dr. Jose Garcia and I^Sabel Garcia Michaei ftueciteus Se-02926 (consolidated with .9=02933 and 88-02940) MasB of Hft«3C3ndgnt/g^ Ibrshall DsvlSr Inc. Brad Xanoda this raattar mm initiated by three separata Statsnnta of Claim filed with Ite NalUonal Aaaociation of Seniritiee Oaalsrsr Zne- ("mSD") on g^^Airi