N.A.S,D. AWAJRD NATIONAL ASSnrTATTON QF SFrURTTTES DEALERS In the Matter of th* Arbitration Between Name of Claimant Thomas Ambersley NASD Arbitration No. 92-01385 Name of Respondent J. W. Gaat and Associates, Inc. Lynne Rach REPRESFNTATTOiy For Claimant: Morton Friedlander, Esq. - San Diego, California For Respondents: In Pro Se CASE INFOWMATTON Statement of Claim filed: April 22, 1992 Claimant's Submission Agreement signed: A

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Frank Lerchenmueller (Claimant) v. J.P. Turner and Company, LLC and Leonard Vincent Gallick, Jr., (Respondents) Case Number: 01-06418 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Dr. Frank Lerchenmueller, hereinafter, referred to as "Claimant": Nicole Van Gendt, Esq., Law Offices of Neal Brickman, New York, NY. Respondents J.P. Turner and Company LLC (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Aquarius Development Corp. 94-05564 Name of Resoondeq^fi^'t Smith Barney Shearson, Inc. REPRESENTATIQN For Claimant, Aquarius Development Corp. ("Claimant"), Christ Stratakis, Esq., of Uie firm Poles, Tublin, Patestides & Stratakis, located in New York, N.Y. For Respondent, Smidi Barney Shearson, Inc.("Respondent"), Christine

N.A.S.D. AWARD .VATIONAL ASSOCIATION OF SECURfnES DEALERS In (he Matter of the Arbitration Between Name of Claimant Kemper Securities. Inc. 94-05576 Name of Respondent Edward T. Regan CASE StJMMARY In a claim filed with the National Association of Securities Dealers, Inc. on Deceniber 29,1994. Claimant Kemper Securities. Inc. ("KSI"), through its representative and in-house counsel, A. Brad Busscher, Esq., alleged that Respondent Edward T. Reg

N.A.S.D. AIvIENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Natalie Brandt and Gerald Brandt 92-04364 Name of ResoondenKs) Brown & Company Securities Corporation Citicorp Financial Services Inc. REPRESENTATION For Claimants: Helen Mangano, Esq., BronxviUe, NY. For Respondent Brown & Company Securities Corporation: James B. Fox, Esq. of Bemkopf, Goodman & Baseman, Boston,

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Bill Gallagher Name of the Respondent Morgan Stanley D W, Inc. d/b/a Morgan Stanley Case Number: 01-06415 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Bill Gallagher, hereinafter referred to as "Claimant": Jeffrey R. Sonn, Esq. and Jeffrey Erez, Esq., Sonn & Erez, Fort Lauderdale, Florida. For Morgan Stanley DW, Inc. d/b/a Morgan Stanley, hereina

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donna Marino Case # vs. 92-04321 Name of Respondents Cowen & Company Donaid G. Zifchak REPRESENTATION For Claimant, Donna Marino ("Claimant"), Christopher Marley, Esq., located in Troy Port, New York. Mr. Marley withdrew as Claimant's counsel by letter dated January 5, 1994. For Respondents, Cowen & Company and Donald

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ot Claimant/Coiinter-Respondent Shedrack L. Aforigho 92-03516 Name of ResDondent/Coimter-Claimant IDS Financial Services Corporation REPRESENTATION For Claimanl/Coimter-Respondent: Shedrack L. Aforigho was represented by Reginald H. Wood, Esq. of Drayden. Wyche & Wood, L.L.P., located in Houston. Texas. For Respondent/Coimter-Claimant: IDS F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. tn the Matter of the Arbitration Between Name of Claimant Vivian P. Ezeil. John j. Ezeli and Teri Ezell and 92-03258 Name of Rftspondfents Prudential Securrties, Inc. and Marty Harari REPRESENTATION OF PARTIES Vivian P. Ezell, John J. Ezell and Teh Ezell ("Claimants") were represented by Michael G. O'Neill, Esq. of CNeiil, SneU, Banowsky & McClure, Dallas, Texas. Prudentia

N.A.S.D. AWARD NATIONAL ASSOCL\TION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wendy Ingram 92-02873 Name of Respondents Titan Value Equities Group. Inc. Gregory Fitzpatrick Andrew Friedman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 26. 1992. Claimant Wendy Ingram, who appeared Pro Se, alleged that Respondent Andrew Friedman, while employed by R