N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaifnant^ Helen J. Sauer Nanci J. Sauer Suzanne Jessie Sauer vs. Name ofRfewmn^l Aearson Ldhinan Broders,. Ibc. Case # 92-03199 •1^ Rr aaunant: Helen J. Sauer appeared pro-ae bo Belialf oiPaU Claimaoi? For Respondent: Ann Pany, Esq. Shearson Ldunan Brothers, Inc. CASE INHniiTU^ jyr^i^ Statement of Claim filed: June 22

APR. 6.199B 5:39PM NflSD, REGIXfiTION FL NO. 195 P.S ^ N.A.S.D. AVASD NASD HfpilatioB, Inc. OIBce of Diipirte RwotoliBB 1 M ttie Matter of be Axbittatlop Between Sto^F. Nodwin 97-02S90 Gnmtel A Co., LJLC. Thomu B. Oooitnegr FairCUiiMmt:PttHudiIleeton,n,Baq., aiidTetBuHa^ of the kw finn of Dawson ft Huddiestoo, Mazietta, GeorsiA. For Respondents: Hany D. Fdtdi* Atcistant Chmeral Coansd, Grantal & Co., LX.C CGntaail'). Stataneat of Oaim file

.NASI) R(:(}l'I.ATI().\. INC AWARD In the .Vlatler of the .Arbitraiion Heiweetl ^.jK^j^itXIamiam Ro-ss Mandel I vs, •Name of RespiMidenis David .Abraham Blech D. Blech & Company, Incorporated Case No. 97-1)25X0 RKPRESENTAI'lON l or Clainuint Ross .Maiidell i "Claimant"! appeared .Steven Allman, l!sq. of thr rirm /.ieyler. /ieeler i^c Altnian located in New Yi>rk. .New York r'< >r Respondents David Abraham Ulecli ("lilech"! and D. Plecl

N.A.SD RHGi:i./VHON. INC AW.ARIJ In the Maiter nf tTie .'\rhiiniiioii Between Nanw 1)1 Clainuiiu Philip J. Halslii Case .No Names of Respondents .'\.>cioni Capital Vlanaiienient. inc. -Sean Dalian RKPRKvSENTA 1 ION For Ciaimatit Philip.I. IJalslii ("Claimant ") appeared Ke\m P. Convvay. I!sq. i t ilic law firm CVMUV.IV iK. Conway located in New York. New V(>rk. Por Re.spondents ,'\,siom Capital Management. Inc ("A.Kiom") and Sean Dal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant O. Beime Chisolm 93-02622 Name of Respondents Kidder, Peabody & Co., Incorporated Kidder Peabody Asset Management, Inc. George V. Grune For Claimant O. Beime Chisolm ("claimant") a^jpeared Jeffrey L. Liddle, Esq. of the law firm Liddle, O'Connor, Finkelstein, & Robinson located in New York, New York. For Respondents Kidder, P

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Ron G, Potts and Kay F. Potts and Case Number 97-05103 Names of Respondents Stuart, Coleman & Co., Inc., J.B. Sutton Group, LLC and Edward Spark REPRESENTATION OF PARTIES Ron G. and Kay F. Potts (hereafter collectively referred to as "Claimants") were represented by Walter T. Weathers, Jr., Esq., located in Houston, Texas. j- Stuart, Colem

)\LkTXZ'\>rru... itS.s^.o Ofrr>'Qf\j cEL. 7 ^-5 -09^2^^ V . .5 .... —)— J ihe Rr'S pndfors:: .B-i^iaQ_i^^--S< iX- (Peter ^ Roor O-P r,LC£ Her r.in^ . ^. Stcbife. Scxn FrcrrtfiAfo ^ \, 4(.>c ,...4Wr- U.^U^ -^--^^\-„iV- ^^WX^X^v. r^^M.^ ^-M.. ^..^^y^. ..i- ^^U. •...Q,.^,^,: IOAJ- -VO ie - .. Jtj'0< yvWv, ^feHa^ -Vt) ftrUfd^UoXg.; jg^gc^W ^ u^.xV.Aa^ gg^^wejeig reV.€A«j>- rU.\>AA^^ \^At^t^^cM^ CCQ\wia%Aa ttX^

— NJ^.SJ). STIPXJIATED CONSENT AWARD NATIONAL ASSOCTATTON OP SEClTRmP^ DRALETtS. IMC. In the nutter ef the Arbitraaon Betw«ea Nfimtftf Claimant Prudentud Securities^ ^c. Andrew Rudy PuTSuaat to the joint motion for entfT- of « Stipultted Consent Award, the undersigud axbitraton hsebx agree to the entry of the Award according to the terms of the attached Elelease and SeedemeQC Agreement. NASD Arbitration No.93-00554 Ruth Graham Giick Dougba

N.A.S.D. .WARD NATIONAL .^SOCUTION OF SECLTUTIES DEALERS in tne .Maner of the Arbitrauon Between .Name ot Clai^i^nf^ Blair D. Algie & Margaret L. Algie JTWR 92-02721 Name of Be.^n^...n|ffj| John Noonan c/o Confidential Management Financial Services REPRESENTATION For Claimant: Nelson Chase, a sole practitioner. For Respondent: Respondent John Noonan appeared pro-se. CASE INFORMATION Statement of Claim filed: August 13, 1992. Claimant's

N..A.S.D. .AV.".-i?L In the Maner of the Arbitn»iioii Between Sara S. Fawthorr 92-02618 Janney Montgomery Scott Inc. Thomas Rosato Claimant Sara S. Fawtiioip ("Claimant") was represented by: Kevin P. Conway, Esq, of Conway and Conway. Respondents Janney Montgomery Scott, Inc. ("JMS") and Thomas Rosato ("Rosato") were represented by: Elizabeth Hoop Fay, Esq. of Morgan, Lewis & Bockius. Statement of Claim filed on: August 4, 1992. Claimant's