N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Ross, Sinclaiie & Associates, Inc. 95-02339 Name of Respondent Lehman Brothers, Inc. For Claimant Ross, Sinclaire & Associates, Inc, ("Claimant") appeared Joseph J, Dehner, Esq. of the law firm of Frost & Jacobs located in Cincinnati, Ohio. For Respondent Lehman Brothers Inc. ("Respondent") appeared William A. Olshan, Esq., Vice

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claunants Joyce Keiies Milton Keiies 95-02334 (consolidated willi #95-02338) Name of Respondents Halpert & Company Robert Haber REPRESENTATION For Claimants Joyce and Milton Keiies (collectively referred to as Claimants) appeared James E. Stahl, Esq, of the law firm Bomis, Goldin, Foley, Vignuolo, Hyman, & Stahl, P.C, located in N

NASD Arbitration No. 95-02362 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Gregory Marshall Golden Name of Respondents Yee, Desmond, Schroeder & Allen, Inc. Robert Friou REPRESENTATION For Claimants: Gregory Marshall Golden, El Cerrito, Califomia. For Respondents: Stanley J. Allen, Jr., Yee, Desmond, Schroeder & Allen, Phoenix, Arizona. CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SKCTJRTTTF.S DEALERS. JNC. In the matter of the Arbitration Between Name of Claimant Ariane Harding NameofRespnnHRnt Robert A. Graham vs. NASD Arbitration No.95-02309 REPRESENTATTON For Claimant: Ken Brown, San Jose, Califomia For Respondent: Christopher J. Clifford, Esq., Zelle & Larson, San Francisco, Califomia CASE INFORMATTON Statement of Claim filed: iVlay 12,1995 Claimant's Submission Ag

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimants Joseph Jedrychowski and Phyllis Beemsterboer v. Arbitration No. 97-04123 Name of Respondents Anthony S. Caiman Norman H. Dahlgren, Jr. Robert W. Ferguson Roger F. Heilpern Stanley A. Williams REPRESENTATION For Claimants: Jerome N. Field, Esq. Jerome N. Field, Inc. San Francisco, California For Respondent Anthony S. Caiman: Anthony

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph N. Pappo and Donald W. Reid (Claimants) vs. Weiss, Peck & Greer, LLC (Respondent) Case Number: 97-04120 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants Joseph N. Pappo and Donald W. Reid hereinafter collectively referred to as "Claimants": Peter Ordower, Esq., Huff & Gaines, Ltd., Chicago, Illinois. Respondent Weiss, Peck& Greer, LLC ("WPG"): James Masel

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant James D ; Chapman vs. 97-04118 Name of Respondents Prudential Securities, Inc. REPRESENTATION For Claimant James D. Chapman ("Claimant") appeared Edith Canter, Esq. of the law offices Much Shelist Freed Denenberg Ament Bell & Rubinstein, P.C. located in New York, New York. For Respondent Prudential Securities, Inc. ("Respondent") appeared Stephe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04115 Glenfed Brokerage Services, claimant vs. Lawrence Fagelbaum, Custodian for Gary Fagelbaum. respondent. ATTORNEYS: For Claimant appeared James 0. Murphy, Jr. Esq., of the firm Byrd and Murphy, Fort Lauderdale, FL. Respondent did not respond to the Statement of Claim. DATE FILED: August 20, 1997. CASE SUMMARY: Claimant alleged that due to an adjust

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: Matthews, et. al. Claimants v. Case No. 95-02282 Norcross Securities, Inc., et. al. Respondents. REPRESENTATION OF PARTIES Anne Matthews as trustee of the Anne Matthews Living Trust, Angela Martino custodian for John La Medica under the Uniform Transfers to Minors Act, Neo Construction, Inc. and Leslie E. Ksieski and Angela Martino as Trustees

N A.S D. AWARD NATIONAL ASSOCIATION OF SECLHITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ellas and Anne Josephs 95-02272 Name of Respondent Prudential Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 11, 1995, Claimants Elias and Anne Josephs ("Claimants"), who appeared Pro Se, alleged that Respondent Pmdential Securities Inc. ("Respondent") purchased two