NATIONAL ASSOCIATION OF SECURITIES DKALERS, INC. Leon Schwartz Mendel & Etty Strul Helen K. Urban Helena Mitchell Lynde H. & Anthony T. Gaglia William C. Raney David Russell Gloriana V. Urban Claimants i-M-iKl'^nf.ia 1 Bache Secijr.j i.j , inc H< >v.'^i f i (;oidberg Martin Salzman Respondents Gi"i i.3iiei Urban Third-Party H< ^< :p(.>nclent AWARD CONSOLIDATED CASES #88-02212; #88-02213 #88-02214; #88-02215

N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In tns Matter oi tne ArDxtracion Between Frank C, AntorcTvich Eve Nichols Elsa, Richard J. and Dennis J. Bucoio 99-03694 89-02699 (Consolidated Case) 39-02704 Batenan Eichler,Hill Richards, Inc. Melvin M. V\i)flcevich Heard before: Henian R. Friedberg, Esq. Public Ian L. Sitren Public Luther D. Prater Industry These matters were initiated by Statements of Claim fil

N.A.S.D. AWARD NATIONAL ASSQCTATTON OF SECimrnES DEALERS In the Matter of the Arbitration Between Nam? Qf Claimants Donna M. Crawley Name of Respondent Prudential Securities, Inc. Name pf Claimant Pauline M. Riggle Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimants: In Pro Se MASD Arbitration No. 92-01690« Consolidated with NASD Arbitration No. 92-01697 For Respondent: Richard L. Piatt, Esq.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant The Christie Group Name of Respondents S.G, Cowen Securities Corp. Lawrence Cohen Anthony DePahna Ronald Flipowitz Thomas Schwartz Robert Benjamin Case No. 99-01325 consolidated with Case No. 99-04762 Name of Claimant GKN Securities Corp. (n/k/a Southeast Research Farmers. Inc.) Name of Respondents Sean Boyle, d/b/a The Christie Group

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Larry B. Hill Brenda Hill Dana Hill Cheri Hill Larry B. Hill and Brenda Hill Trustees, Larry B. Hill EMPLOYEES PENSION PLAN TRUST, vs . M.L. Stern & Co., inc. Randall Stern Claimants AWARD NASD #91-00142 Respondent REPRBSBNTATION Claimants were represented by Gregg A. Martin, Esq. of Fierstein & Sturman, Los Angeles, California

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Armando R. and Armando R. Ribeiro V8 . Kennedy Cabot & Co. Claimant(s) Respondent(8) NOTICB OF ARBITRATION AHARO 88-3498 The Arbitrator, John H.L. Estrange, Jr., Esq., selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a siilmission to arbitration signed by the parties on Octob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Goodloe 95-05495 Name of Respondent M. Rimson & Company, Inc. REPRESENTATION Claimant William Goodloe ("Claimant") appeared pro se. Respondent M. Rimson & Company, Inc. ("Respondent") did not submit an Answer or otherwise enter an appearance in this matter. CASE INFORMATION Statement of Claim filed: November 20, 1

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Hatter of the Arbltratton Between HARRY A. and MARY M. GOLDENBERG, Claimants, and JANNEY MONTGOMERY SCOTT, INC., Respondent. In the Matter of the Arbitration Between HARRY A. and MARY M. GOLDENBERG, and GOLDENBERG & MACKLER PENSION and PROFIT SHARING PLANS, and Claimants, JANNEY MONTGOMERY SCOTT, INC., Respondents and Third-Party Claimant, and WILLIAM H. MONEY, JR.

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of. the Arbitration Between STEVEN F. & SUZANNE B. CALDWELL, JEFFREY J. F. EBY., BRIAN E. PECON, BENJAMIN T, PO., M.D., CHARLES A. RICHARDS. PERVIE B. SIMPSON, JR. AND JOHN G. TUCKER Claimants and PAINEWEBBER, INC. CASE NO. 88-03407 88-03414- 88-03405- 88-03392" . - 88=03391 88-0~338S.' ^^03383 Respondent CASE SUMMARY In claims filed with the NASD,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) STEVEN F. & SUZANNE B. CALDWELL, JEFFREY J. F, EBY., BRIAN E. PECON, BENJAMIN T, PO., M.D., CHARLES A. RICHARDS, PERVIE B, SIMPSON, JR. AND JOHN G. TUCKER Claimants and PAINEWEBBER. INC. ) CASE NO. 88-03407 88-03414" 88-03405' 88-03392- . - 88^03391 88-0~338S^ Respondent CASE SUMMARY In claims filed with the NASD, Stev