n- 9 2 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURmES DR'U.ERS In the Matter of the Arbitration Between Name of Claimants Bruce A. Manchd, John F. St^,IV, Philip 1 McConkey NASD AWARD mmm CONSOODAIED m-02907 CASES m-(B4S9 vs. Name of R^pgndCTts Dean Witter Reynolds, Inc., Robert W. In body Worth H. Bagley REPRESBSTATON For Claimants: Shirii Fabbri Weiss, Esq., Gray, Cary, Ames & Fryeof San Diego, California. For Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Hamilton Investments, Inc. f/k/a The Illinois Corporation, Inc. No. 92-02837 Name of Respondent Stephen Mann REPRESENTATION OF PARTIES For Claimant: Rosemarie J. Guadnolo, Esq. of Horvath Lieber Sc Quilici, P.C, Chicago, Illinois. For Respondent: Michael E. Pildes, Esq. of Wolin & Rosen, Ltd., Chicago, Illinois. CASE INFO

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack DiMauro, individually, and Jack and Yvonne DiMauro (Claimants) v. Wachovia Securities, Inc. f/k/a Everen Securities, Inc. and First Union Securities, Inc., Mark Isenman, and Jason Mallor (Respondents) Case Number: 02-04581 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Jack DiMauro, in

N.A.S.D. A VmRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) George J. Wallace Gary and Meg Wallace Name of Respondentrs) Yaeger Securities, Inc. Yaeger Capital Markets Norma Yaeger Robert Neiditch John Barrett CONSOLIDATED CASES 92-01863 and 92-0282.2 REPRESENTATION For Claimants: Robert M. Roth, Investors Arbitration Services, Inc., WDodland Hills, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NASD Arbitration No. 92-02766 Name of Claimantrs) Rondy M. Scippio Name of Respondent(s) TMI Equities, Inc. James Bogdan Roland Brecek Kurt Cummings Harold Young II REPRESENTATION For Claimant: William Taylor, Esq., Oakland, Califomia For Respondents TMI Equities, Inc. and James Bogdan: Daniel K. Donahue, Esq., Bruck & Perry,

rw 14 '33 B9!53 p.3 N.A.S.D. AWASD NATiONia4 ABSOOAHDN or acuKims DILAXJIBS Itt the Mtttw of 11M AxbittadoD BstWMA C. DAvklBenldiii 92-02394 A.G. Sdwwdi Sc. SON, XBC Bor Clidnaot: Bmndan W. Zuk, Biq. dViuuTabHaock DcvU A Fbttst, P,C. For fiMpoDdnt: CtjVadk L. Bn^, Biq. «f Fepnr, M«xti&, JomeQ, Mtlctwl sad "Bttiagp, StaMrwatorOilmflM: hOy 17,1991. CSalmat't SxAmiitSiaa Apwnm ilgMNii on: Auguii 6, 1992, Stionnntof Anawcr filed by Kwponi

INDUSTRY N.A.S.D.AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Dean Witter Reynolds. Inc. Claimant CASE m -02167 AWARD vs. Lcc Bnick Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on June 30. 1992. Claimant Dean Witter Reynolds. Inc. through its in-house counsel, B. Carole Hoffman. Esq.. alleged that Respondent Lee Bmck has failed to r

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Elizabeth and Edward Emrich 92-02120 Name of Respondent Colin R. Spencer CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on June 24, 1992, Claimants Elizabeth Emrich and Edward Emrich. who appeared Pro Se. alleged that when Claimant Edward Emrich retired in 1987, he rolled over

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Timothy Lane Burkes NASD Arbitration No. 92-01774 Name of Respondents Shearson Lehman Hutton, Inc. Douglas Damrow REPRESENTATION For Claimant: Mark Winston - M. G. Winston Company - Mountain View, Califomia For Respondents: Philip a McLeod, Esq. - Keesal, Young & Logan - San Francisco, Califomia CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clainiant Michael McKenna 92-01627 Name of Respondent First Albany Corporation REPRESENTATION For Claimant, Michael McKenna ("Claimant"), Joseph F. Kennan, Esq., from the law firm of Bochat & Kennan. For Respondent, First Albany Corporation (Respondent"), Ronald H. Shecthman from the law firm of Pryor, Cashman, Sherman & Flynn. CA