o K.A.S.O. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In tha Matter of the Arbitration Between Name of Claimant(3) John B. Greenfield, Philip Greenfield and the Greenfield Family Trust Lee Collins Michael Herrera -Christina Menicucci-Lane John Matt Elliott an** Neal Barry Elliott vs. Name of j^pondent (3)^ Kober Financial Corporation Michael S. Hughes Robert A. Lopez 90-02085 90-02407 90-02411 90- 02529

o N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTIIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert L. Gritzke Richard Gritzke Bertha Gritzke ConsoUdated No.s 91-00732 92-01186 Name of Respondents Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc. Roger Bach Michael Rago REPRESENTATION OF PARTIES For Claimants: Matthew D. Wayne, Esq., and Roben Vanasco, Esq. of Fishman & Merrick,

N.A.S.D. ANARD NATIONAL ASSOCIATICM OF SECURITIES DEAt£RS In the Matter of the Arbitration Between Name of Claimant^sl Eddie B. Scoggin; Robert A. Neil son; John NeMnan; Mitchell C. Massey M.D., A Professional Medical Corporation and Washington Parish Radiology, Inc. Profit Sharing Plan Name of Reanondent/sl Legg Mason Wood Walker C. Feck Hayne 90-01566 (consolidated with 90-00960,90-00962 and 90-00764) O For Claimante

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration BetweeiT" Name of riaiinant(..j) Eddie B. Scoggin; Robert A. Nellson; John Neftinan; Mitchell C. Massey M.D., A Professional Medical Corporation and Washington Parish Radiology, Inc. Profit Sharing Plan name of Rppr^-^p-^ij fg| Legg Mason Wood walker C. Feck Ha^^ 90-01566 (consolidated with 90-00960,90-00962 and 90-00764) For Claimant

o N.A.S.D. AWARD NATICmL ASSOCIATIC»l OF SECURITIES DEALERS In the Matter of the Arbitxation Betvreen Man^a nf PI a imant f s ^ Marion Edwards, et al 90-00508 consolidated with 90-00586 xir ^ipmnp nf Reannndentrs^ Legg Mason Howard Weil Heard before the maiisers of the Arbitration Panel: Public/Industry William D. Hawkland Public Clayton J. Borne - Public Charles A. Schildhauer Industry in the Statanant of Claim fi

o NATICNAL USSOdXnaS OF SBCQRITIES DEALERS m the Matter of the Az±3itzaticn BetMeen NiBune of ^ClalnBnt(8) Eva Dapelo mmrr.-manm §90-00SL7 i90-ai£05 Arbitration National Association of Securities Dealera, inc. NASO Financial Center 33 Whitehall Street New Yorl«, New Yorlc 10004 Name of BftHnnnfl«it(a) Stuart James Oaafony, Inc. First ZntecxegioDal Equity Cbrporaticn Equitable Securities of Hem Yca±., Inc. Levoo Secu

o- N.A.S.D. i\WARD NATIONAL ASSOCIATia^ OF SECURITIES DEALERS In the Matter of the Arbitrations Between i^ane nf niaimant Janney Montgonery Scott Inc. 90-00514 Mane of ResporKjeoL Neil F. Beyers nrwHnr.TTTATRn wrm Ijame of claimant Neil F. Bryers NamP of Respondent Janney Jtontgcmery Scott, Inc. 90-01596 For Janney Montgonery Scott, Inc.: Elizabeth Hoop Fay, Esq. of Morgan, Lewis & Bockius. For Neil F. Bryers; Joseph R.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Raymond R Krvavica D.D.S., Claimant v. Joseph G. Thomas and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 02-03817 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: John S. Perkins, Esq. San Jose, California For Respondents: Susan L. Hoffman, Esq. Todd A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between James C. and Jayne L. Stuart Nfflieof Resoyndenft 96-03297 96-03044 96-03360 96-01743 96-03369 John A. Stanley Newby &. Company In a case tiled with the National Assocaition of Securities Dealers Regulation, Inc. on April 22, 1996, claimants James and Jayne Stuart ("claimants"), who appeared Pro Se, alleged that respondents John Stanl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James C. and Jayne L. Stuart Name of Respondents John A. Stanley Newby & Company 96-03297 96-03044 96-03360 96-01743 96-03369 In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on April 22, 1996, claimants James and Jayne Stuart ("claimants"), who appeared Pro Se, alleged that respon