® N.A.S.D. ASVARD VIKnXXBtL ASSOdAnON OF SEOOBTTIES DEALERS la the Matter o£ t±e Azbitxation Betanieea Niaine of Claimant Joseph Arseoault 91-01400 NcBae of ResDCPdent SheagBon Lebnan Brothers, Inc. For Clainffmt; David Crystal, II of the law fixm of Collier, Coben, Shields & Bock. For Respondant; Fbllip J. Hoblln, Jr. of the law fizm of Parker Chapin Flattau & Klixipl. Statanent of Claim filed: Hay 2, 1990. R^ly to Oountercl

VJuS.D. ASBnmmnr CF fwiwrnis la. the Itatber of tfae AtUtxatlGa 91-01210 Hil.lCTiy XOB. and ZIMU Quwuy daisant Paul H. Gallaghgr anpoarod and was represented by Bruc of Fargo, Mbrth Dakota. Its Sbearscn Letanan Button, Ihc. and Ivan Botvey by John Qrenstein, Eeq. of Dorsey & Whitney, Minneapolis, Minnesota. m a Statement of Claim filed with the Mlatlonal Associ Securities Dealers, Zoc. ("MASD") on or about April 16, 1991, dai: M. Gal

N.A.S.D. ANKRD MAXICMBL ASSOdAXICN CF SBCDRITIES DEAIERS, IMC. In the Matter of the Aatoitratzion Betwoon Niame_of^gainant Demetrios CN. Macrls 91-01148 Niame of Respcndent Prudential -Bache Securities, Ihc. For daimant: Eckgard M. Krugnan, Esq. and Robin M. Butc±dnson, Esq. of the law firm of Bondhsant, Mixscn & Elmore. For Respondent: Jamie Brotmlee-Jordan, Esq. and G. Vfeyne Hillis, Jc., Esq. of the law firm of Parker, Hudson, Rainer & Do

Arbitration N.A.S.D. ASraSD NATICMAL ASSOCIATION OF UbXAJKITlES DEALERS, IMC. In the tfatter of the Aibitration Betwoon Kame of Claimant Bellamah Neuhauser & Barrett, Inc. 91-01023 N^me of ResDODdent William Barrett National Association of Securities Dealers, Inc. NASO Rnancial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claixoant: For Respondent: The Claimant a^^peared pro se. The Respo

N.A.S.D. ;^waRD NATICNAL ASSOCIATICN OF SBCURTmS DEALERS In the Matter of the Acbitrarion Eetvieen Allan Spico 91-01004 Individual Securitiee, Inc. Dcmuiick & Dominick Incorporated Philip Tasaeljnyer HgpWHKl^l|WfPllW For Claimant; In Pro Se For Reepondent: Dominick & Dominck Inc.: Jon L. RsMinski of Kindel and Andereon For Reepondentt Individual Securitiee Ltd.: Mr. Carl Lanzieera Statement of Claim filed: April 2, 1991 C

Stipulated Award NASD Dispute Resolution in me Matter ol me Arbitration between: Name of the Claimant Case Number: 01-05004 Mark W. de Lugo Mark W. de Lugo, Roth IRA Names of the Respondents Hearing Site: Tampa, FL UBS PaineWebber, Inc. Donald R. Calvert REPRESENTATION OF PARTIES Mark W. deLugo and Mark W. deLugo, Roth IRA, hereinafter referred to as "Claimant", appeared pro se. For UBS PaineWebber, Inc. ("PaineWebber") and Donald Calver

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aifoitiation Between Name of Claimant Nfaitin H. Feingold 91-01001 NameofRemondents R. Michael Fagerlie John Aveiy Roney & Co. REPRESENTATION For Claimant Martin H. Feingold ("Claimant"): David M. Foster, Esq., a sole practitioner. R. Michael Fagerlie rq)rBsented himself. Respondents John Avery ("Avery") and Roney & Co. ("Roney"): did not appear at

N.A.S.D. N/asiD NBTICMSL MSOdKnCtt OF SlsLUklTlES DEAIfSS In the setter of the Azbitration Between NBunBOfdaimant (s) ^x^^So^^^^'sSd Joan FladcB 91-00909 Mane of Respcndent (s) Par daiaant: Andrew D Brooks, Esg. of Tbonas Luebs and Mart, Riverside, California Ebr Reepondent: J\xl/ Louie, Eeq. of BaineMebber, mc, Los Angeles, California Statanent of daia filed: Iflarch 21, 1991 daiaant Itoxy Alice dine's Siibidsslcn Agreement signed cn: j

1I.A.S.D. iOZIOnL ASSCX2ATICN OP SH UklTlKS DSZatS In the Matter of the Azbitxatlcn BetMBOi ^'*" "* ^ - — - Anthony & Kia Mood case # vs. 91-00894 ?aneof First Albany Ootparaticn David Rcbinaon Tea: daiasBits, Anthcxy & Kim Hood, Robert I. Rabinowitz, Esq. For Respoodents, First Albany Cuiporation and David Robinscn, Aodrair C. Rose. Esq. of Nixon, aargxave, Devans & Doyle. StatODent of daia filed cn Jlpril 16. 1991.

NATICMAL .^ASSOCIATICN C? SECURITIES CEALERS, INC, 1.1 z'r.e Matter -::" zr.e .-.rbirration Between, •lercert M. leibcwicc Claimant vs. Prudential Bache Secu C-lcbal America, Ine ri;:ies, -nc. Resoonaents -awrence Guarceilo :iri Party Respcnaen; CASE #91-00789 AHASD CASE SUMMARY In a claim filed with che National Association of Securities Ceaiers, Inc. on .March 13, 1991, Claimant, Herberc M. Leibowitz, who appeared Pro S