/ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John & Florence Slivka 95-05827 , \'L V.Tior.,"! A"src';iion of Name oi Respondents r y,, • • -i- ^^^^^^^^^^^^^^^^^^^^^^^^^^^^^^ ^ill»^,J J,-'L,l*..-l„. ^^iWr Gruntal & Co., Inc. Scott Lee Mathis CASE S - Y In a claim filed with the National Association of Securities Dealers, Inc. on December 13, 1995, Claimants John

r - NJLS.D. AMARD NATICNAL ASSOdATICN OF SBCDRITIES DEALERS In tbe Matter of tbe Axbltraticzi Bet»4een name of daimant Prudential Securities, Inc. vs. 91-02030 Name of Respondent Carol A. Henry AuaMflaainaiiCM For Clainant; Denis J. McCarthy, Esq., Prudential Securities, Inc., New York, New York. For Respondent; Richard W. Taftat-jpr II, Esq., Stephens, Berg, Tasater & Rogers, Los Angeles, Gallfomia. CASE INPgaB>LnXM statement o

RCV QY-m THIRD AVENUE 5 7-14-92 ; 10:12AM ; CCITT G3-LI0DLE, O'CONNOR, etal;« 2 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In. the Matter of the Arbitration Between Name of claimants Paul Patrello David Weiss 91-01875 Name of Reepondents Jefferies & Co. Inc. Ronald H. Davis RB^Rfi8KNTATION For Claimants Paul Patrello and David Weiss ("Claimants")! Jeffrey Liddle, of Liddle, O'Connor et al. For'ReapondGnts Jefferies &

V' 7^ M.A.S.D. AWARD MATICNAL ASSOCIATICN OF SECDRITIES DEALERS In tbe Matter of tbe Aibitratlaa Between Name of Claimant Patterson Financial Services, Inc. vs. 91-01822 Name_o^jiMponri«?nt5 B/W Mission Securities Oarporation Need Brolc^ Far Claimant; C.E. Patterson, Patterson Financial Services, l^fayet-e, California. For Respondents; Neal Broidy, Iferaga, Califoniia statement of dalm filed: JUne 11, 1991 Amended Claim filed

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frank Adames and Junia Adames, joint account holders and beneficiaries of the Frank Adames IRA and the Junia Adames IRA, Claimants v. Edward D. Jones & Co. and Barton D. Dalton, II, Respondents Case Number: 02-04539 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Jason T. Dennett, Esq.

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. - ^' L , t- -\ It In the Matter of the Arbitration Between JM ^ Dean Witter Reynolds. Inc. Claimant CASE #91-01768 AWARD vs. Anthony Lotito Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on June 7. 1991, Claimant Dean Witter Reynolds. Inc. by and through their in-house counsel B. Carole Hoffman, Esq.. alleged th

NAS.D. AWaKD . ^ lCm:C21KL ASSOCimCM OP SECDRniES DEALERS In tbe Matter of the Axbltration Between I Name of daimant & Oounter-Respoodent PaineWebber, Inc. vs. 91-01713 Name of R^MMBt_&.Oounteg-aaiiiBnt Michel Grimal Fbr dadnant & Ocunter-Hespcodent; Scott M. Satctaidc, Esq., Pain/df^bber, Inc., Los Angeles, Callfoxnla For Kespoodent & Cbunter-Claimant; Tndra Lahlrl, Esq., BaJcersfield, California QVSB IHPOHMKnXM Stat€BQent of dalm fil

ft'' 01't X.A.S.D. AWARD XATIONAL ASSOCIATION OF SHCirRrriES DFAT In the Matter of the Arbitration Between Name of Claimanrro Prudential Securities, Inc. Name of Respond^mfs) NASD Arbitration No. 91-01616 William Creedon REPRESEm'ATION « For Claimant: Joseph S. Schuchen, Esq., Keesal, Young & Logan, Long Beach, California For Respondent: Gregory D. Wolflick, Esq., Wolflick & Simpson, Glendale, California CAs^E INFORMATION

L. N A S D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Antonio Moroni ©National Association ot Securities Dealers. Inc. All Rights Reserved 95-06081 Name of Respondent Thomas James Associates (n/k/a H.J Meyers)-%- CASESUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 29, 1995 Claimant Antonio Moroni ("Claimanf'), who appeared

oic>\os Karch 27, 1992 Arbitration National Association of Securities Dealers, tne. 20th Floor 10 South LaSalle Street Chicago. IL 60603-100;; (312) 899-4440 (312) 236-9239 Fax Horgan H. Beatley, Esq. 50 Paric Place ItaHazfc, NJ 07102 Subject: MASD Aiisltratlcn MUibecr 91-01450 Derek: Polk vs. Merrill Lynch, Pierce, Fomar & aooltb Inc.^ 0. Ray Vass, Jamefl Lusk et al. (CXNSQUIAm) w/ 91-01475) Dear Blr. Beatleyi In accor