N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philip and Pothitos Logothetis 93-01254 Name of Respondents Peter Joseph Brown & Company Securities Corporation REPRESENTATION Claimant appeared pro se. For Respondents Brown & Company Securities Corporation ("Brown") and Peter Joseph ("Joseph"), Paul R. Morey, Compliance Officer of Brown & Company Securities. CASE INF

N.A.£.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In che Matter"of"the Arbitration Between Mame of Claimant CLeante Pimpineila 93-01145 Name of Respondent Shearson Lehman Bros., Inc. Linda S. Schwarz REPRESENTATION For Claimant Cleante Pimpineila ("Claimant"): Christopher C. Fountain, Esq., a sole practitioner. For Respondent Shearson Lehman Bros., Inc. ("Shearson"): Rohonda J. Rothenberg, Esq., of Shearson. For Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nathan A. and June H. Simon, Individually and as Trustees for the Nathan A. Simon and June H. Simon 1978 Trust vs. NASD #93-01131 f Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and William J. Kiefd For Claimant: Les Greenberg, Esq., Culver City, CA For Respondents: Thomas L. Taylor, EL Esq., Cooper, Epstein & Huiewitz, Beverly «ni» 1

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES DEAT.FRS. FNC. In the matter of the Arbitration Between Name of Claimant Herman Friedberg NASD Arbitration No. 93-01124 Name of Respondents Kidder Peabody & Co. Russ Allison For Claimant: H. Thomas Fehn, Esq. - Fields, Fehn Sc Sherwin - Los Angeles, California For Respondents: William H. Phelps, Esq. - Kidder Peabody & Co. * Los Angeles, California, CASE INFORMATION Statement of C

N.A.S.D. AWARD MATTONAT. ASSOCIATION OF SF.rUKTTTFS DFAT.ERS. INC. In the matter of the Arbitration Between Name of f!laimanrs Stanley £. Segali and Ruth M, Segali Attilio C. Segali and Patricia A. Segali Robert H. Hordyk and Jeannette A. Hordyk Rene £. Deane and Bonnie I. Deane NASD Arbitration vs. #93-01023 Name of Respondents Soarcs Financial Group, Inc. DeWayne C. Soares REPRESENTATION For Claimants: Douglas W. Oldfield, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Gloria Howell vs. NASD #93=998 Name of Respondents Bateman Eichler, Hffl richards, Inc. and Kevin O'Bar For Claimant: Dennis G. Merenbacb, Esq., Santa Barbara, CA For Respondents: A. Brad Busscher, Esq., Kemper Securities, Inc., Chicago, IL CASE INFORMATION Statement of Claim filed: March 16, 1993 Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/Counter-Respondent Paine Webber. Incorporated 93-00975 Name of Respondent/Counter-Claimant Michele M. Jones, a/k/a Mike M. Jones REPRESENTATION For Claimant/Counter-Respondent: Paine Webber Incorporated ("PaineWebber") was represented by Joseph A. Vallo, Esq. of PaineWebber Incorporated, Weehawken, New Jersey. For Respondent/Co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Martin Bogensperger vs. NASD #93-931 Name of Respondents Viviane Cloninger For Claimant: Martin Bogensperger, Austria, Austria For Respondent: Viviane Cloninger, Albuquerque, NM CASE INFORMATION Statement of Claim filed: March 11, 1993 Claimant's Submission Agreement signed: April 13, 1993 Statement of Answer filed by Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.CURITTES DFAT.FR.S. TNC. In the matter of the Arbitration Between Name of Claimants Jeff Eaton Enterprises, Inc. Jeff Eaton NASD Arbitration No 93-00921 Name of Respondents The Equitable Life Assurance Society Equico Securities, Inc. Joel D. Kettler George Bergh •n r?m> r?OTxrr * -rrrvM For Claimants: John R. Fuchs, Esq. and Scott D. Fisher, Esq. - Fuchs & Marshall - Los Angeles, Cali

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant NASD Arbitration No. 93-00825 Elizabeth J. Dronzek Trust Elizabeth J. Dronzek TTEE v. Name of Respondents Clearing Services of America Bruce Rosenberg Resources Trust Company Securities America, Inc. Oak Brook Securities Corporation REPRESENTATION For Claimant: Allen E. Gardner, Esq. - Lombard, Gardner, Ho