N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimant J.C. Anderson Constniction, Inc. 94-04458 Name of Respondents David A. Blech Peter S. Chung gASE SVMMARY In a ekum filed with tbe National Association of Securities Dealers, Inc. on October 25, 1994, Claimant J.C. Anderson Coostiuctkin, Inc., through its iqiresentative and Presidem, John C. Anderson, aUeged that Respondents

NASD, INC. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Allan R. Pearlman 94-04457 Name of Respondents PaineWebber, Inc. Lawrence W. Katz Mark E. Katz CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. October 25, 1994, Claimam Allan R. Pearhnao, who appeared Pro Se, alleged that Respondents' PaineWebber, Inc., Lawrence W, Katz ("L. Katz"), a

N.A.S.D. AWARD NATIONAL ASSOCIA'nON OF SECURITIES DEALERS In the Matter of the Aibitration Between Name of Claimants Peter Labe Calvert D. Crary Walter Nightingale Jean W. Orr William Relyea R. C. Winston 94-04456 Name of Respondent Vantage International Coiporation REPRESENTATION For Claimants Peter Labe, Calvert D. Cniry, Walter Nightingale, Jean W. Orr, William Relyea and R. C. Winston (referred to collectively as "Claiman

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Arthur M. Peisner and NASD Case Number: 94-04452 Name of Respondents East West Capital Corporation Craig A. Janutol REPRESENTATION OF PARTIES Claimam Arthur M. Peisner was represemed by Jonathan Kord Lagemann, Esq. located in New York, New Yoik, and David H. Jarvis, Esq. of Singer, Bienenstock, Zanumski, Ogele & Selengut, L.L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SFCURTTTFS DFAT FRS. TNC. In the matter of the Arbitration Between Name of Claimant Arthur H. England NASD Arbitration No. 94-04451 Name nf Respondents A.S. Goldman & Co., Inc. Michael P Cilmi PatdJ. Cilmi REPRESENTATION For Claimant: H. Barksdale Brown, Esq. - Plan, Marble & Brown - Oakland, California For Respondents: Roben J. Hausen, Esq. - Chadboume & Parke - New York, New York CASE INFORMAT

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kay Turner and • NASD Case Number 94-04449 The Westcap Corporation. Westcap Government Securities, Incorporated, Westcap Securities, L.P., Westcap Securities, Incorporated, Westcap Securities Management, Incorporated, Westcap Securities Investment, Incorporated, National Western Life Insurance Company, Shearson Lehman Brothers, Incorporat

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard J. Sweeney, (Claimant) vs. Ormes Capital Markets, Inc., (Respondent) Case Number: 01-05083 Hearing Site:New York, New York REPRESENTATION OF PARTIES Claimant, Richard J. Sweeney, hereinafter referred to as "Claimant": Thomas P. Milton, Esq., a sole practitioner, New York, NY. Respondent, Ormes Capital Markets, Inc., hereinafter referred to as "Respondent": Barry R. Lax,

94-04445 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Wam?9fglainuH«8 Raymond and Maiy Hernandez NamgofRtsypndffng Quinn/ Soudiwest, a division of Soudiwest Securities. Inc.; Roben R. Harrison REPRF^SENTATIQN For Claimant: Raymond Hernandez and Mary Hernandez ("Hernandez") were represented by Manin £. Thieet, Esq. of Threet and King, located in Albuquerque, New Mexico. For Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLHITIES DEALERS In the Matter of the Arbitration Between Name of Claimam Anton Olaisen 94-04437 Name of Respondent M. Rimson & Company, Inc. REPRESENTATION Claimant Anton Olaisen appeared pro se. Respondent M. Rimson & Co.. Inc. did not enter an appearance in this matter CASE INFORMATION The Statement of Claim was filed on October 23, 1994. Claimam's Submission Agreement was signed on October

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Naipg of Claigiant PaineWebber, Incorporated and NASD Case Number 94-04431 Name ofRespondent Nancy L. Shockey ' REPRESENTATION OF PARTIES PaineWebber, Inc. ("Claimant") was represented by Janiece M. Longoria, Esq. of Andrews & Kurth located in Houston, Texas. Nancy L. Shockey ("Respondent") was not represented and did not appear for the heari