NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Hatter of the Arbitration Between Bernard J. Halligan Claimant vs. The Stuart-James Company, Inc., Chatfield Dean and Company, Inc. and Greg Small Respondents Case #90-03543 AWARD CASE SUMMARY Bernard J. Halligan, Pro Se Claimant, in a claim filed with the National Association of Securities Dealers, Inc. on December 17, 1990, alleged that his broker at The Stuart-James Company*

NATIONAL ASSOCIATION OF SECURITIES DEALERS, -INC. In the Matter of the Arbitration Between Kenneth Fagen and Eileen Fagen Claimants vs. Case #90-03549 Shearson Lehman Hutton, Inc. and Lewis 0. Tenzer Respondents AWARD REPRESENTATION For Claimants: Kenneth Fagen appreared pro se. Eileen Fagen did not appear at the hearing. For RtsSpuncien Ls s HoLLliew Fax ley, Esq. o£ thw law firm of CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between Harry F. Bremen Hilda F. Brotan vs. 90-03550 smith Barney, Harris Upham i Co., Inc. Gilliat G. Schroeder For Claimants: Ralph R. Smith, Esq., Olynpia, Washington. For Respondents: Larry H. Iron, Esq., Smith Barney, Harris Uphara & Ccnpeny, Inc., New York, New York. Statement of Claim filed: December 18, 1990. Claimants' Submission Agreement

N.A.S.D. AJWRD ASSOCIXnCN OP SECURITIES DEALE3ZS In the Matter of the Arbitration, Between Family Trust atd. 7/16/74 90-03596 Mme of Fnennrtmt(s) ISraer Becfc, lac. ram R David Daley For Claimant: David N. Mahler, of Mahler and Associates For p««y-rvv*«- Maxaer Beck: Bruce J. Ruahall, Esq., of Busball, MoGocvgr and Sappl ngti.n Tar TtmpcnVmra 1>n Cblwller »™* Cblwilcr & Asaociatea: Steven R. Young, Esq. of rMnnlmjB aad Young Stat

N.A.S.D. AWMZD SECC3EITIES DEAU3RS la tbe Matter of the Arbitration Between 90-03607 Prudential Securities lac Doyle U. Sfcoewalter Pruoo Securities Stevens For n«-»_««ii«-« w. Sean »«li«h«*-, Attorney at law. For Respondents Prudential Securities Inc. and Spnncer Stevens: Gapezutto, Assistant Q«Minil Oounsel, Prudential Securities, Hoc. For Respondents Pruco Securities and Doyle U. Shoewalterz Janes C. Selfrich, Prudential "rnff^T^rv^**

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ftlame of Claimant Judy A. Farrar 90-03528 Maine of Res A.T. Brod & Co. Inc. and Alex Von Pichl OP PARTIES Judy A. Facrar was represented by Alvin M. Cohen, Esq. of Lester, Roos & Long, P.C., Denver, Colorado. A.T. Brod & Co., Inc. and Alex Von Pichl were represented by Jeffrey M. Haber, Esq. of Charles J. Hecht, P.C., New York, New Yor

N.A.S.D. NATICHAL ASSOCBHTCN OF SECURITIES In t±a Matter of the Azbitration Between Hcoald Meyer, M^H^IO Mayer. Hey & Refining EfeBployeeB' Pension Tcuat ^T tUe Retirement Account of Henry Mayer and »nrf Tiee Szlclazski #90-03536 v #90-03535 HH I pert and O minity f Tnc. Par GLaisantai ***T Meier, Esq. of Friedaon & Kaplan in New York City For Respondent: Anthony W. Djinis, E«q. of Picteard & Djinia in Waahingt D.C. Stato

N.A.S.D. AJ-OKD OP ' &* In the Matter of the Arbitration Between Marian Snyder 90-03490 Brothers/ Inc. a. Michael Bidntts For Claimant: Glenn A. Oahea, Esq. of Borowitz & Goldsmith Par Respondents: Casey Baun, At Brothoxs, Inc. LL Oounael of Shearson Sta it of Claim f Had: 2, 1990. Qainamt *»•*-»•" Snyder*s ("daiaBnt") Stibniasim agreement signed on: December 6, 1590. Statement of tenner filed by Respondents, Shea

N.A.S.D. ?30XD ASSOCBHICN o? In *•*•— Matter of *•*"» Arbitration of daiioant Glccla S. Sltercra 90-03514 B.C. Oiristopbar Securities Coapany Paul T. VMS i H'U'iisnil ul by John J. Williams, UZ, Sag. of Slagle, Bernard & (Vmitm, P.C., KUSBS City, MO. by J. Michael Vaughan and J. Bret Axsaataa, Eaq. of r^inr>« r Miriflgnffilo 6 Vaugban, Kuaas City, MO. da Statonoxt of dalffl wa« filed on or about TTouaii'mt 13, 1990. daisBEDt'

NATIONAL ASSOCIATION OP N.A.S.D. AWAK1J DEALERS In the Hatter of the Arbitration Between Irene Woods Name of ResccdeQta 90-03518 Merrill Lynch Pierce Femer & Smith Inc Lloyd M. Scbaef er Arbitration National Asaodatton of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Far Claimant: Borna D. Giachetti, Esq. of Stark & Stark. For Respondents: Brian F. faery, Es