N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Whale Securities Co., L.P. 94-04282 Name of Resrondent HalU Kozi REPRESENTATION For Claimant Whale Securities Co., Inc. ("Claimant") appeared David S. Richan, Esq. of the law firm of Tenzer Greenbhitt LLP located in New York, New Yoric. Respondent Halil Kozi ("Respondent") did not appeared at the hearing conducted in this matter. CASE INFORMATION Statement of Claim fded: October 17, 1

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jack and Nancy Van't Hof, (Claimants) vs. Greenway Capital Corp., Paul E. Taboada, John E. Margiotta, and Robert A. Neff (Respondents) Case Number: 94-04281 Hearing Site: New York. NY REPRESENTATION OF PARTIES Claimants Jack and Nancy Van't Hof, hereinafter collectively referred to as "Claimants": Ralph A. Gant, Esq., a sole practitioner. New York, NY. Respondent Greenway Capital

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf C^|ain|iant Gregory CSeorge Knutson 94-04277 Name of Respondents Craig Hallum, Inc. Harold H. Tearse, m In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1994, Claimant Gregory George. Knutson, who appeared Pro Se, allied that Respondents Craig Hallum, Inc. ("Hallum") and Harold H. Tearse, m ("Tea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant(s1 Nancy L. & R. Dwigfar I^yne 94-04274 Name of Respondent(s) Signet Investment Corporation n/k/a Signet Financial Services, Inc. CASE SUMMARY In a Claim filed with the National Association of Securities Dealers, Inc. on October 14, 1995, Chumants R. Dwight Payne and Nancy L. Payne, who appesaod Pro Se, allied that Reqiondent

NASDR AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Afflie R. Baugfa, Samuel A. Blacknum, Diane Blacknnn, Linda Chopra Carter, Hugh Childs, Dr. Ian Reynolds, VicU Schorlemmer, Charlie D. Svrcek, Norma Grace Svrcek, Dr. John Weaver, Raymond A. Inunonen, Natalie M. Inunonen, the estates of William Henry and Betty Jane C. Henry, and James Henty. Claimams, V. Case No. 94-04271 H.D. Vest I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name nf (^lj^imant.«; Joseph and Rosalie Leonardo 94-4270 Name of Restiondents LaSalle St. Securities, Inc. Advest, Inc. P. Thomas Mattiiew Dean Columban REPRESENTATION For Claimants Joseph Leonardo and Rosalie Leonardo (collectively "Claimants"), appeared Frank J. Hariton, Esq., a sole-practitioner located in New York, New York. For Re

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Todd Bender and Terri Bender Name of the Respondents Morgan Stanley Dean Witter, Inc. (n/k/a Morgan Stanley) and Marshall Weisman Case Number: 01-04380 Hearing Site: St. Louis, Missouri REPRESENTATION OF PARTIES Steven W. Koslovsky, Esq. of the firm Blumenfeld Kaplan & Sandweiss, P.C. in St. Louis, Missouri representecl Claimants Todd Bender

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant John DiGiantommaso 94-04269 Name of Respondent Lew Lieberbaum & Co., Inc. Daniel Fuchs REPRESENTATION Claimant John DiGiantommaso ("Claimant") appeared pro se. For Respondent Lew Lieberbaum & Co., Inc. ("Lew Lieberbaum") and Daniel Fuchs ("Fuchs") appeared Lawrence P. Sandor, Esq., General Counsel of Lew Lieberbaum & Co., Inc. CASE INFORMATION Statement of Cla

NASD RLGUI.AnON. 1N(. . AWARD OFFICE OF DISPLIE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Ann Nunziata 94 04268 Names of Respondents David Sobocinsi(i Smith Barney Shearson, Inc. REPRESENTATION For Claimant, Ann Nunziata ("Nunziaia"), appeared ra.ssin Maioney. f'.f-q., of the Law Office of Dominick J. Porto located in New York City, New York. For Respondents David Sobocin.< iki, ("Sobocinski") and .Smith Barney

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECl}RrnES DEALERS In the Matters of the Arbitrations Between Name of Claimant Jerry Wade Name of Respondents IDS Financial Services, Inc., IDS Ijfe Insurance Company, IDS Securities Corporation, and IDS Financial Corporation Name of Claimants IDS Financial Services, Inc., and IDS Life Insurance Company Nqfn^ nf Respondent Jerry Wade 94-04066 EXPEDITED ARBITRATION (consolidated with