N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cecelia Frusher Award vs. #93-02241 Name of Respondents Schneider Securities, Inc. Albert Kopech Jonathan Alan & Co., Inc. Mitchell Feinglas REPRESENTATION Claimant, Cecelia Frusher ("Claimant"), represented herself at the hearing. For the Respondent Schneider Securities, Inc. ("Schneider Securities"), Murray Weiss

N.A.S.D. AWARD MATTONAL ASSOCIATION OF SFrUKTTTF.S DEALERS. INC. In che matter of the Arbitration Between Nam < f Clai George Zarrett NASD Arbitration No.93-02118 Nam Toluca Pacific Securities Corporation Arthur Leichtfuss Peter Blowitz James Orth NEF Securities, Inc. REPRFSyNTATIQN For Claimant: Richard -Sarfcs. Investors Kecovery Service, Novato, California For Respondents: (1) Arthur Leichtfuss: H Thomas Fehn, Esq., Fields,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louise I. Rodgers Wayne L. Wymore vs. NASD #92-01705 Name of Respondents PaineWebber, Inc. Albert Humphrey Michael Ferguson For Claimants' (Rodgers & Wymore): Ross A. Kay, Esq., of Berliner. & Cohen, San Jose, California. For Respondents PaineWebber & Albert Humphrey: Judy Louie, Los Angeles, California • - For

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In tha Matter of the Arbitration Between N JTT " of Claimant (3) Joseph Karmen vs. 92-01692 San» qf Respondent(a) Smith Barney, Harris Opbaa & Co., lac. David Ladne For Claimant: Paul N. Young, Securities Arbitration Group, Inc., Los Angeles, California For Respondents: Alejandro Schwed, Esq.. Smith Barney, Harris Upbam a Co., Inc., New York. New York Statement of Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donna M. Crawley NASD Arbitration No. 92-01690* Name of Respondent Prudential Securities, Inc. Consolidated with Name of Claimant Pauline M. Riggle NASD Arbitration No. 92-01697 Name of Respondent Prudential Securities, Inc. REPRESENTATION For Claimants: In Pro Se For Respondent: Richard L. Platt, E

N.A.S.D. AHAKD NRTICNRL ASSOCTXriCLJ OP . la tha Matter of the Arbitration Betueao, Yo Sung Kim, Bcog Bang Soak va. NASD #91-00970 Gulf Pacific SecuritiM, Inc. (Hainanta: Richard B. anitli, Eaq. ( lorn Angela*, For IlMpcndtaQts Philip W. Bartao»tti f E»q., dark & Tcwritbick, lo* AngaLes, Stataunt of Ibxch 26, 0391 Sta Tb Sung Kim - January 22, 1991 Bong BM Oaa > January 16, 1991 Bong Soak of filed

tt.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Clara 0. Loeeh Revocable Living Trust, U/A 1-6-81 Evelyn Krein, TiilHan Louise Berg & Katbryn Leech, Trustees vs. 91-00955 Mane of Respondenta PaineWebber, Inc. Frederick Bliss Par claimant: Jeffrey B. Heinrich, Esq., San Diego, California. Ptar rrooprnrVnrni William McC. McBtgoaaary, Esq., FaiaeWebber, Inc., Los Angeles, California.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #99-03493 Denise K. Montanile, claimant vs. TD Waterhouse Investor Services, Inc., formerly Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimant, Denise K. Montanile, appeared Pro Se., Clifton, NJ. For Respondent, TD Waterhouse Investor Services, Inc., formerly Waterhouse Securities, Inc., appeared in-house counsel Janis Campanella, New York, NY. DATE

N.A.S.D. AWARD HKHQNKL ASSOOXnCN OF StUJki'mS DEALERS In tbe Matter of the Aztoitration Between ItanaofClainantis) Jagdiah and VB. 91-00936 Prudential-Bacba Securities and Gerald Strand ClaifflBQtat Bl'aXU'L S< For New York , Jt., Baq., Banks, nan.i.irij & Qagela, Reapoodflntai Joel Levtnacn, Eaq., Prudential Securltiee, Inc., Hetr Yocic, Stateoant of Claim filads Mm± 22, 1991 dalnaxita 1 Sufcnlaaicn A^raflnaa Joi

N.A.S.O. AMENDED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Benjamin Winter and Claire Winter TTEE 91-00853 Mame of Reacmidentfat Smith Barney Harris Upham & Co., Inc. San Antaby For Claimants: Kathleen S. Winter, Esq. For Respondents; David Levy, Esq. of Smith Barney Harris Upham & Co., Inc. Statement of Claim filed: March 18, 1991 Claimant's Submission Agreement signed