NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Jacob Metelitsa vs. Case No. 97-03910 Names of Respondents Investors Associates, Inc. Herman Epstein Lawrence Penna David Say id Mark Blonder Eric Sturken Vincent Grieco Douglas Mangan Vision Global, Inc. James Klement REPRESENTATION For Claimant Jacob Metelitsa ("Claimant") appeared Richard L. Herzfeld, Esq. of the law o

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimantfs) Glendon Lee Comstock v. Arbitration No. 97-03907 Name of Respondents) Richard Dearcop REPRESENTATION For Claimant: James Jay Seltzer, Esq. Emeryville, California For Respondent Dearcop: M. David Sayid, Esq. Sayid and Associates New York, New York CASE INFORMATION Statement of Claim filed: August 5, 1997 Claimant's Submission Agree

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03906 A.G. Edwards & Sons, Inc., claimant v. Jeffery D. Briley, respondent. ATTORNEYS: For claimant appeared Catherine Hope Johnson, Esq. - St. Louis, MO. Respondent appeared pro se - Warren, MI. DATE FILED: 8/7/97 CASE SUMMARY: Claimant alleged debit balance in respondent's account. Claim Data Award Data Claim: $7,672.84 Award: $7,672.84 Interest

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Phyllis Fine, Claimant, v. No. 97-03905 First of Michigan Corp., and H. David Zucca, Respondents. REPRESENTATION OF PARTIES Claimant Phyllis Fine ("Claimant") was represented by David L. Nelson, Esq. of Somraers, Schwartz, Silver & Schwartz, P.C, located in Southfield, Michigan. Respondents First of Michigan Corp. ("FOM") and H. David Zucca

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-02152 Keith I. Block Name of the Respondents Hearing Site: Chicago, Illinois Ellen M. Aleshire, D.H. Brush & Associates, ABN AMRO, Incorporated, Daniel R. Brush, Dennis B. Pascual, Kevin J. Kowalski, Robert E. McBride, Dennis Wenmouth Type of Controversy: Customer v. Member Firms and Associated Persons REPRESENTATTON OF PARTIES Cl

STIPULATED AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimants Calvin and Patricia Whitcomb, Chuck Whitcomb, Mike Whitcomb, Charles and Anna Whitcomb and 97-03903 Name of Respondents Randall A. Green, Piper, JaSray, & Hopwood Incorporated and Painewebber REPRESENTATION OF PARTIES For Claimants Calvin Whicomb, Patricia Whitcomb, Chuck Whitcomb, Mike Whitcomb, Charles Whitcomb and Anna Whitcomb ("

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Biltmore Securities, Inc. 97-03900 Name of Respondent Victor Katt REPRESENTATION For Claimant: Biltmore Securities, Inc. ("Biltmore") was originally represented by Hartley T. Berstein, Esq. of Berstein & Wasserman, LLP, located in New York, New York. At hearing, Brad Twedt, Esq. of Neal, Gerber & Eisenberg, located

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03899 Frank S. Sabellico and Annette Sabellico, claimants vs. Michael J. Richardson and First Cambridge Securities Corporation, respondents. ATTORNEYS: Claimants appeared Pro Se, Howard Beach, NY. Respondents did not respond to the Statement of Claim. DATE FILED: August 6, 1997. CASE SUMMARY: Claimant alleged that respondents sold his shares of Bethlehem S

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 97-03898 James A. and Betty L, Zalmanek, claimants vs. Jerry Swayzee, respondents. ATTORNEYS: Claimants appeared Pro Se. - Highlands Ranch, CO. Respondent did not appear. DATE FILED: 8/6/97 CASE SUMMARY: Claimants alleged misrepresentation in the sale of a limited partnership. Claim Data Award Data Claim: $10,000.00 Award: $10,000.00 Interest: $.00 In

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03896 Leonard Burk and Doris Burk, claimants vs. Advest, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Huntingdon Valley, PA. For Respondent appeared Barry J. Kronemer, Esq., Hartford, CT, DATE FILED: August 6, 1997. CASE SUMMARY: Claimants alleged that they were misled and induced to invest in Unit Insured Muni Securities Trust Discount 29th Ser