N.A.S.D. AWARD NATTONAT ASSOriATTON OF SECimTTTES P. .ALERS. INC. In the msicter ofthe Arbitration Between Name nf Claimant Euvah N. Christie NASD Arbitntion #95-000323 vs. Name nf Respondents Titan/Value Equities Group, Inc. Judith Manindale REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Service, Novato, Califomia For Respondents: Kari Schepman Turigliatto, Esq., Centrum Services, Inc., Irvine Califomia CASE INFORMAT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Ethel A. Bodge Marion R. Bodge No. 93-00016 WaTnp of Respondenc Prudencial Securities I.-:corporaced REPRESENTATION OP PAttTTTTg n°''u"r^^''-^"''-' ?."l^" ^- ^-'-^^- ^sq. of Morrison. Liana,Evans, Bock & Kenneay, Wichica, Kansas. " ' For Respondenc: Roberc 5. Gecman, Esq.,' Prudential Securities Incorporated, New York, .\ew York. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf.O Harold O. & Betty Annable Wetherell NASD Arbitration No.92-03895 Name of Respondent(s) Associated Planners Securides Corporation Harry Bartolomei REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Service, Novato, Califomia For Respondent Associated Planners: David S. Markun, Esq., Zelle & Larson, San Fra

NA,S,D. AWARD NATIONAL ASSQCTATTON OF SECURTriES DEALERS In the Matter of the Arbitration Between Name of Claimant(s^ Martin Siegel Susan Siegel NASD Arbitratioa No. 92-03881 Name of Respondentfs^ Shearson Lehman Brothers, Inc. David H. White REPRESENTAHOM For Claimants: Joseph L. Shalant, Esq., Los Angeles, Califomia For Respondents: Michael M. Gless, Esq., Keesal, Young & Logan, Long Beach, Califomia r ASE INFORMATION S

N.A.S.D. AWARD XATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Leon R. Berg and Eleanor Berg 92-03800 Name of Remondems David Lener Associates Edward F. Ruth, Jr. < ;ASE SVMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 9, 1992, Claimants Leon R. and Eleaiior Beig, who appeared Pro Se, alleged that they visited Respondem David Lemer Asso

N A.S.D. AWARD \.4T10N.\L ASSOCIATION OF SECURITIES DEALERS In tne .Matter (^r the .Arbitration Betv^een Name nf Claimantisi Bear Steams & Company 91-04031 Name nf ResDondemis) Cathenne Benoli T.W. Real Estate Development Company Distand S.L. R F PW JT-Sf NT ATIpN For Claimam Bear Steams < & Co Inc.: James M. Hubbard. Esq.. in-house counsel at Bear Steams & Co.- For Respondents T.W. Real Estate Development Co.: Richard Benoli

NASD Arbitration No. 91-03835 N.A.S.D. ORDER NATIONAL ASSOCIATION OF SHrirRTTTCS DEALERS In the Matter of the Arbitration Between Name of Claimants Raymond Sopp Jeanne Sopp Name of Respondents Cruttenden & Company Christopher Weil & Co., Inc. Allen Stakee REPRESENTATION For Claimant: Bryan A. Gianesin, Esq. - LaRocque, Wilson, Mitchell & Skola - Irvine, Califomia For Respondent: Christopher Weil & Co., Inc.- Elizabeth Barrowm

N.A.S.D. AHARD loandsaSi i£sccixsixxt OF sscnsinss DESVUEBS la the Matt»r of tha Azbitxaclca BetMam NameQ£CTa< ttwTi< ' Joseph DobkDMsici ^bnej^^esDondgts K^Dnady, Cabot & nrnpmiy Soss Fearl For Clainant: AdaBsat N. Geocgeaca, Eaq. - Mill Vkllq^, Ga. Far'RaecmdfKit: Kannady, Cabot & Co.- Gaaega RiqfMr, Esq. Par SaapoDdaat: Roaa tearl - In 9ro Sa ' mSD Arbitzatioa Mb. 91-03798 StatOBOtofi daim filadt DttOHriMT 3, 1391 da

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants McLaughlin Physical Therapy Trust Jay C. McLaughlin Case No. 97-05890 Name of Respondent Nathan & Lewis Securities Inc. REPRESENTATION Jay C. McLaughlin and McLaughlin Physical Therapy Trust (collectively "Claimants") were represented by Paul N. Young, Esq. ofthe Securities Arbitration Group, Inc., Marina Del Rey, Califomia. Nathan & Lewis Securiti

H.A.S.O. JWASD NKTICHAL ASSOCIAbniar OP SECDRrnSS TTigyjpg In tbe Matter of tbe Arbitzatioa Bettieen Waae of nainwnt(s) Elgie Llayd Azaoir Arleoe fiatelle Aaaour VB.: 91-03718 of Beaponflent(s) Vtadbusb Horgan Secuzities Dick Pldkup Fbr dalsantsi Jeff Dennis FarMitz, Esq., CUifQznla Fbr Bsepondantst Stifbsn Touog, Kaesal, 'Zbug 6 Logan, Long califamia Statcneat of COalm filedt Noveaber 26, 1591 dabnants' Siibalsslon J>greemen