N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Michael T. Burke and Susan Bowling CONSOLIDATED AWARD 95-00048 Susan Bowling cust. for Cheresse Burke 95-00049 95-00050 Susan Bowling cust. for Elizabeth R. Burke Name of ResDondentfs) Prudential Securities Inc. James Cronin ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc, on Ja

Ay/sard NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Nugent, Claimant vs. Dean Witter Reynolds Inc., Respondent and Cross-Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Cross-Respondent. Michael Nugent, Qaimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondent. Consolidated Case Numbers: 98-0I62S and 99-05375 Hearing Site: San Francisco, California RRPRESENTATTQN OF PARTIES Claimant, Michael Nuge

DEC. 7.1998 2:25PM WISD REGULftTION FL h».574 P. 13 NASD REGULATICN, INC. AWARD NASD R^Dlation, Inc., Oflioe of Dilute Resolution bi &e M: liter of file Arbitcation Between ^ rfPBs of Cj.ajn»nts Xfidiael i. & Pamela M. Andersoa 95-02248 Joseph Robots & Co., IDC. Jean Pierie-Serena Jacques ilzy) Serena JoelNazi'.fflo Jos^rrS'anto Robert EI [.larco CONSOIIDATED WITH: itdlchael II. Anderson 97-05145 Brian Schcntz Brian Btj

0 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arthur and Lenore Olson; Estate of Donald Bennett; Madeline Dantimia; Ara Louise Olson; and E. Taliaferro French and Dorothy French Consolidated Case No.s 91-00635; 91-00637; 91-00653; 91-00663; 91-02068 Name of Respondents Mutual Service Corporation John M. Culbertson RBPRBSEH13VTI0N OF PARTIES For Claiman

N.A.S.T}. i^WARD In t±e Matter of the Azisltzaclcn Betanocn T.ohmTi Huttm, Inc. 90-02324 Name of Rflaomdeata -T-QN-CHICAC Daolal Phillips V. Damial Hwalmvl m t±e Matter of the Aibitratlcn BetNeea of daimanc 91-00059 Gmsolidated with 90-02324 Daniel Phillips 91-00059 of ResDcnrieata Tfivm ButtCQf Inc. nwnlel Haaland 90-02324 Far dalnant Shearsca r^atmim Buttca, Inc. azid ISilrd-Party Respcodeat Daniel HBalaad

o o N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the fitter of the Arbitration Between ^SSe of Claimantfs^ Thonas J. Peters Leslie J. Schurr Peter A. Laneo Mary M. Swanson DeArle liters and Jeffrey J. Salaime Name of Respondentfs^ Princeton Financial Group Anthony J. Pontieri Jerry Frederick Shorthouse Charles Brimble Case Nos, 90-02932 90- 03202 91- 00066 91-00353 91-00536 91-

; * N.A.S.D. i^WARD MATIONRL ASSOCIATION OF SECURITIES DEALERS O fn the Matter of t±e Arbitrat:ion Between ^ Charles E. Canpton and David B. Cotnpton , I , Claimants Consolidated Cases and 91-00297 and 91-00388 A. G. Edwards & Sons, Inc. and John L. Collins Respondents ^*S.,?t-. SisT^Mi=souri. John L. Collli» aH«red HE in a Statarent of Claim fil«i the f, securities Dealers, Inc. r^"l^ '^^^'j^^]:^^^ ^llis^") Ccmpton ("C. Conptorn ^

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between PaineWebber, Inc., David Locklear, Claimant and Counter-Respondent, V. No. 97-00106 Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent PaineWebber, Inc. ("Claimant") was represented by Lisa Catalano Tillem, Esq. and Stephanie Morse-Shamosh, Esq. of PaineWebber, Inc. located in Weehawken, New Jersey. Resp

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03768 Keith Woodhouse Names of the Respondents Hearing Site: Boca Raton, Florida Merrill Lynch Michael R. Torre Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For Keith Woodhouse, hereinafter referred to as "Claimant": R. Craig Zafis, Esq., R. Craig Zafis, PLC, San Diego, Californ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robnison, Individualfy and as Executrix of the Estate of Robert V. Robinson First AUied S^iirfties, Inc. MUdred H. Beftz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordniate Case) In the Matter of the Arbftration Between