N.A.S.D. ;^HARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwewi Casey E. Luna and Beverly Luna Dr. Jose Garcia and Malsel Garcia Michael RuecidkBus S8-02926 (consolidated with .9=02933 and 88-02940) Mane of Haanondgnt/g^ Ibrshall Davis, Inc. Bead Kanode this matter was initiated by three seperate Statonanta of Clain filed with the National Aaaociation of Saniritioe Oaalere, Inc. ("NASD") on g^^^irirg

PUBUC NASX). jmASD NATIGNAL ASSCXHAHCN OF KmJWi'1'it.ig DEAZ£RS In the Matter of the Arbitraticn Betweea RfTOld Mr^er, Ulcbelle Msyer, mey flmai Hng & Refining Etsplayeee' Penal on Trust for tfae fietixemaat Aocouat of Henry Mayer and Marris and Tbaa Szklarslci #90-03536 #90-03535 NBBne of Respopdentjaj^ Halpert and Ocapaa/, Inc. For Cladnants: Bal Neier, Esq. of Friednan & Kaplan in New York City. For Respcodent: Anthony W.

SEP 25 '91 13:36 NASa D«pt. Po^Ht" brand fait transmittal memo 76711 * OIPIB«I * J Phono Viai Fax fit c^artiyi-Bu ^leixx September 25r 1991 P.I Arbltmlfon National AsMdatton o( SMurWM DeaJar*, Ine. NASD FInanclAl Center 33 Whitehall Stradt Nftw York, New York 10004 Mr. Frank Lewie Langerroan, Begam Lawls & Miirka 111 West Vc^Kcoe Street, Suite 1400 Pho^iix/ AZ 85003-1787 Subject; NASD Arbitration Nuirber 89-02

AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIiERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimaht J.W. Charles Securities, Inc. Names of Respondents Robert D. Keyser, Jr. and John T. KeyserT^ John Hughes, Howard Feinmel, Paul Winkle, Chris Zafuoff, Al Poliak, Michael Winnick, Frank Vecchio 95-00814; 95-01118; 95-01217 ; 95-01264; 95-01295; 95-01533 ; 95-01534 ,-95-04973 RFPRFSFNTATTON * For Claimant J

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Michael Kukanza and Carmine Ricciardi (Claimants) vs. Merrill Lynch Pierce Fenner & Smith Inc.. Joseph D. Argilagos, Paul Mulvaney. T.J. Lim and Rosanna Fazio (Respondents) Case Number: 95-01175 Hearing Site: New York. New York Consolidated with 95-01054 REPRESENTATION OF PARTIES Claimants, Michael Kukanza ("Kukanza"). and Carmine Ricciardi. C'Ricciardi"), hereinafter referre

SEP-20-93 11=47 FROM ID: PAGE 2XB AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name Eugene Lugo Case Number and 98-00644 Name of Respondent The Harriman Group, Inc. Joseph Gi REPRESENTATION OF PARTIES For Eugene Lugo ("Claimant") appeared John E, Lawlor, Esq., a sole praclioner, located in Mineola, New York. The Haniman Group, Inc.( n HGI tI ) did not appear. For Joseph Gianrtuzzi (

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimap^ William J. Chesnutt William J. Chcsiiutt, Inc. John W. Crouse William J. Daniels James D. & Barbara A. Neptune James B. & Jean B. Proctor Carolyn C. Riddick Holm«n Rrown r>e of Respondents RAF Financial Corp. Robert A. Fitzner Robert F. Blake 95-00966 - (consolidated with 94-03865) REPRESENTATION For

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

NASD Dispute Resolution Arbitration No. 02-00179 Award Page 1 of 8 Award NASD Dispute Resolution In the Matter of the Arbitration Between: William J. Black (Claimant) vs. Fleet Securities, Inc. and Fleet Boston Financial Corporation, (Respondents) and Neil Feldman (Claimant) vs. Fleet Securities, Inc. and Fleet Boston Financial Corporation, (Respondents) Case Number: 02-00179(consolidated w/02-00178) Hearing Site: New York, New York REPRES

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Vanguard Capital, Inc. (Claimant) v. Jean A. Vitale, Jean A. Vitale IRA (Respondents) and Jean A. Vitale and Jean A. Vitale IRA (Claimants) v. Vanguard Capital, Inc. Case Number: 01-00376 (consolidated w/QI-06335)Hearing Site: Boston, Massachusetts Nature of the Dispute: (01-00376) Member v. Customers. (01-06335) Customers v. Member. REPRESENTATION OF PARTIES 01-00376 Clai