N.A.S.D. AWARD :CVnCNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Steve Garrett Amended Award Correcting Assessment of Forum Fees 91-02213 Merrill Lynch, Pierce, Fenner & Smith, Inc. Charles Partain Gordon Williams and William Sheldon HKHffihHflTffHII For Claimant: Lloyd C. Ownbey, Jr., Esq., of Munns, Rofford, Hoffinan & ThzocJonorton For Respondent: Timothy N. Will, Esq., of Kaesal, Young &

N.A.S.D. AMARD NATICNAL ASSOCIATICN OF SBCDRITIES DEALERS In the Matter of the Azbitration Between Name of Claimant (s) John Dusewltz 91-02221 ^me^^^eggo^^t^ Rnadential-Bache Securitiles, Inc. For Claimant: Claimant Joha Dusewltz oppoaiod pro se. For Respcndent: Patricia A. FitzpntaAck, Esq. of Prudential Seeu3d.ties, Ihe. in New Yadc dty. Statement of daim filed: JUly 19, 1991. daimant's Subnission Agreement signed cnt JUly 16, 1991.

N.A.S.D. AKARD IC^TICNAL ASSOdATICIT OF SBCnRTTIES DEALERS In the Matter of the Azbitzation Between Name of C^a^T^lant(s) Ramon D'Ctaofrio Susan D'Ctaofrio vs. 91-02179 ^m^o^^^^^^^(s^ Shearson Tietman Brothers, Tnc. Robert Miller Eugene Dtf atie For Respcndents: E. Scott Douglas, Esq., Keesal, Young & Logan, Long Beach, Califamia Statanent of Claim filedt JUly 16, 1991 daimants' Subnission Agreanent signed cnt JUly 5, 1991 Jo

N.A.S.D. ANARD NAnCMAL ASSOCIATICN OF SBCDRZnES DEAISRS In the Matter of the Azbitration Between ^m^o^d^l^cs Herbert and Rose Gazbers 91-02122 Igm^o^^^gc^aats Century CapitaLL Cozp. of South Carolina Mazk Booth JUstin GsBble Mbrtin Neniger ~ "" H. Cory Adame RoKiald Whitehouse Sophie Reuben Par Claiments: James H. Kaster, Esq., Minneapolis, Minnesota. For Re^ondent Century Capital Oozporation of South Carolina: K. L. Kenyaai,

N.A.S.D. AMARD NATICNAL ASSOCIATICN OF SECURITIES DEALEiRS In t±e Matteo: of t±e Arbltzatica BetMeoi Mane of r^a^T^l^Tl^•(a^ Chexle N. BEOMU TIBS Cbecie H. Bcowo T^ust Terry EcMzi & Cbarle M. Browi NUBOf .t(8) Robert Barl Hlllazd, Peorshlng & Oo. Inc., S|)aclalt7 Securities Inc., Mark Brecbsr, Anorlcan Capital Equities Inc., Stephen Keoneth Burch, BUvey H. FeldoBn, and Stephen R. MBittbaM No. 91-02022 Far ClaiiBBnts, Cbar

Stipulated Award NASD Dispute Resolution Li the Matter of the Arbitration Between: Newton E. & Marilyn Brightwell v. A.G. Edwards, Lloyd Dotson and Robert Wood Case Number: 01-05018 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Newton E. Brightwell Marilyn Brightwell For Respondents: A,G. Edwards & Sons, Inc. Lloyd Dotson Robert Wood In Propria Persona Westlake Village, California Newton E

N.A.S.D. AWARD \ATION.\L ASSOCIATION OF SECURITIES DEALERS in tlie .Matter of the .Arbitration Between Name or Claimant Robert Gray Case ft vs. 91-02116 Names of Respondents Pnidential Securities Ine Barr%- West REPRESENTATION Claimant. Roben Gray ("Claimants"). Sam Schwartz. Esq. from the law firm of Lefrak Newman i: Myerson. For Respondents. Prudential Securities. Inc. ("Prudential") and Barry West ("West "), Kevin B. Hurley. E

N.A.S.D. ARKRD NBIICNAL ASSOCIATICN OF SBCDRITIES DEAISRS lia the Ifatter of the Arfaltiaticn Botwoon Name of Clajinmt Lorenzo BBsptoa 91-01973 ^ m o ^ P ^ ^ d ^ ^ Sbearscn Lebnan BzotherSf Tnc. The Bnhlnson-HlJuJirwy Co. Tnc. Oscar Ayala, Jr. Ellen Bbudc William L. Ef finger. III vnatuuuiaminXS For daamant: BayoBcnd L. Moss, Esq. and R. Ebillip Shi nail. III, Esq. of the law fizm of Glass, MoC

N.A.S.D. .-WVARD N.\TIONAL .VSSOCUTION OF SECURITIES DEALERS In tne Matter or the .Arbitration Between Name of Claimant Betiv Glenn 91-01974 Name of Respondents Shearson Lehman Hutton. Inc. Claudia Holliman REPRESENTATION For Claimant at the hearing: Deirdre O. Dexter. Esq. of Conner & Winters, Tulsa, Oklahoma. For Respondents at the hearing: Claire V. Eagan. Esq. of Hail. Estill. Hardwick. Gable, Golden & Nelson. Tulsa. Oklahoma. CA

N.A.S.D. AWARD NATICNAL ASSOCIATICN OF SECURITIES DEAI£RS In the Matter of the Arbitration Between Nffjit flf ri^ilnpnr.ffi) Odis Luckenfaeugh 91-01967 Dean Witter Reynolds, Inc. For Claimant: Richard Sacks of Investors Recovery Service, and Irwin Stein, Esq. For Respondent: Jay Cutler, Esq. of Daan Witter Reynolds, Inc. Statanent of Claim filed: JUna 25, 1991 Claimant's Submission Agreement signed on: June 15, 1991 Stetement of Answer f