N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of' Claimant Ley Petroleum Corporation Defined Benefit Pension Plan 93-00189 Name of Respondents Dean Witter Reynolds Inc. David Luckstead CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 19, 1993. Claimant Ley Petroleum Corporation Defined Benefit Pension Plan, by and through their Pre

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: George J. Clark, Jr. and George G. Clark TTEE U/A 7-28-87 FBO George J. Clark (Claimants) v. Merrill Lynch Pierce Fenner & smith, Charles F. Brown, Jerry S. Sellars, Daniel B. Jay, and Douglas Clark (Respondents). Case Number: 99-03484 Hearing Site: Oklahoma City, Oklahoma REPRESENTATION OF PARTIES Claimants George J. Clark, Jr. and George G. Clark TTEE U/A 7-28-87 FBO George J. C

NASD Arbitration No. 93-00044 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTTFS DEALERS. INC. In the matter of the Arbitration Between Name of Claiipaqtfs) James G. Wright, Jr. Name of Respondent fq) Charles Schwab & Co . , Inc . Iradj Moazed RBPRgflgNTATIQM For Claimant: Michael T. McColloch, Esq., Grady, Farley & Gerson, San Diego, California For Respondents: Mark T. Drooks, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angel

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In ihe Matter 01 the Arbitration Between Name of' CLninuius Elizabeth and Joseph Tellie 92-04046 Name of Respondent John Hancock Distributors, Inc. Name of Third-Party Respondent Thomas Olick REPRESENTATION For Claimants Elizabeth and Joseph Tellie ("Claimants"): Claimants appeared pro se. For Respondent John Hancock Distributors, Inc. (" John Hancock"): Frederick W. Keuth

KATIONAL ASSOCIATION OP 5ECPRTTTER nTJAT.RRB. TNT. In Che matter of the Arbitration Between Nanm nf (71 a i iimn i- fa ^ AX Swimmer IRA Dated 3/8/88 Al Swimmer and Roberta Lindsay, T/C Roberca Lindsay, TT2E of Lea Swimner Irrevocable Trust Dated 6/18/91 NASD Arbitration No. 92-04013 Wanu» rtf tt Prudential Securities, Inc. Timothy Tremblay For Claimanta: A. Kendall Hood, Baq. and Donald J. DaSieto. Esq., Hinchy, Witte, Hood/ Anderson

NASD Arbitration No. 92-03964 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Bernice H. Bays Name of Respondentfs) PaineWebber Incorporated Michael D. Sweeney Michael G. Sweeney Michael Dix Lyle Moss REPRESENTATION For Claimant: Bernice H. Bays, Veradale, Washington For Respondents PaineWebber Incorporated, Michael Dix and Lyle Moss: Scott M. Ratchick,

N.A.S.D. AWARD NATTnNTAL ASSOCIATION OF SE£rHTTTPg HF ALFKS. la the matter of tb* Arbitration Between Mapn» fif Claimant Gertrude Cohen NASD Arbitration No: 9243962 of Hi Prudential Becbe AlanDurksttr BEERESEUXAXIOli , Paul N. Young - Securities Arbitration Group, Inc. Marina Del For Rfsponrintra David M. Bartholomew, Esq. • Keenl Young ft togan • Lon* Califoraw CASF TfrfplQflMATTON Statement of Claim filisfe November 23,1992

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Allen Hitch Allen K. Hitch NASD Arbitration No.92-03928 Name of Respondents') Robert Taylor REPRESENTATION For Claimants: Paul W. Thomas, Esq., Carlsbad, California For Respondent: Dennis A. Stubblefield, Esq., Law Office of Maurile C. Tremblay, La Jolla, California CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant & Counter-Respondent Prudential Securities, Inc. NASD Arbitration No.92-03822 Name of Respondents & Coun< yj»Claimant^ The Balog Trust, Emery M. Balog and Helen £. Balog, Trustees, and Emery M. Balog and Helen E. Balog, Individually RlJJTtESENTATION. For Claimant: John N. Camperlengo, Esq., Prudential Securities, Inc., New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leon Ungar NASD Arbitration No. 92-01998 Name of Respondent Prudential Securities, Incorporated For Claimant: James L. Sanders, Esq. - Sheppard, Mullin, Richter & Hampton - Los Angeles, California For Respondent: Ralph S. Blascovich, Esq. - Prudential Securities, Inc. - San Francisco, California CASE INFORMATION Sta