HECTmTTTK.q in the natter of the Arbitration Between Mi of Craig R. Whited BASD Arbitration So. 92-01907 Prudential Securities Incorporated Pbr Claimant: David c. Klnshaw, Esq. and Spencer A. Burfcholz, Esq., Gansinger, Hlnabaw & Buckley, Loa Aogelee, California For Reapondenti Terry Roe», Esq., Keeaal, Young t Logan, Be*ch, California statement of Claim filed > June 5. 1992 Claimant's Subraiaaion Agreement signed: May 29, 1993 state

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John Massey Alice Massey NASD Arbitration No. 92-1867 Name of Respondents PaineWebber, Inc. Carl C. Roba REPRl^SENTATION For Claimant: Paul N. Young, Securities Arbitration Group, Inc. Marina del Rey, California For Respondent: Scott M. Ratchick, Esq. - PaineWebber, Inc., Los Angeles, California CASE INFORM

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jerome L. Bollard, (Claimant/CounterRespondent) v. Merrill Lynch, Pierce, Fenner & Smith, Inc., (Respondent/CounterClaimant) Case Number: 99-03481 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant/CounterRespondent Jerome L. Ballard ("Ballard"): Armand Salese, Esq., Salese & McCarthy, P.C., Tucson, Arizona. Claimant had originally been represented by James

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants Bruce and Marjorie Jordan and 92-01864 Names of Respondents Prudential Securities, Inc.. Vincent Lazara and Jay Jablonski OF PART Claimants, Bruce and Marjorie Jordan were represented by Barry Kirschner, Esq. of Stompoly & Stroud, P.C., Tucson, Arizona. Respondents, Prudential Securities, Inc. and Vincent Lazara wer

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES In the Matter of the Arbitration Between Name of Claimants Achintya Banerjee Leena Banerjee NASD Arbitration No. 92-01829 Name of Respondents A. G. Edwards & Sons, Inc. Amrita Bedi REPRESENTATION For Claimant: Kyle Kenneily - Greenbaum and Ferentz - Newport Beach, Ca. For Respondent: Clay L. Grumke, Esq. - A. G. Edwards & Sons Inc. CASE INFORMATION Statement of Claim filed: Ju

ATIONAL .-tSSOCIATKXN OK SECURITIES DEAUESS the Matter cr inc .-uonnuion Between en '.- i«st Western international. inc. 92-01804 Names of Respondents Shearson Lehman Hunon. inc. Manm A. J.ikubow*gi Claimant, Best Western International. IDC. was represented by Douglas G. Zimmerman. &>q. or Jennings, Strouss < fc Salmon, Phoenix, .Arizona. Respondents. Shearson Lehman Hutton. lac, and Maron A. Jakubowski were represented by H. Nicholas Ber

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven A. Soja, (Claimant) vs. Lehman Brothers, Inc. and William Welsh, (Respondents). Case Number: 99-03865 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Steven A. Soja: Andrew H. Wilson, Esq. Wilson Campilongo, LLP Sausalito, California. ^ Lehman Brothers, Inc. and William Welsh: Peter R. Boutin, Esq. Keesal Young & Logan San Francisco, C

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant GKN Securities Corporation 98-02695 Name of Respondent David Rice REPRESENTATION For Claimant GKN Securities Corporation ("GKN"): David W. Schmidt, Esq. of Lubiner & Schmidt, Kenilworth, NJ, Respondent David Rice ("Rice") appeared pro se. CASE INFORMATION Statement of Churn filed on July 28, 1998. Claimant's Submission Agreement signed on July 2

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: All R. Moghadasi and Karen H. Stampf, (Claimants) vs. JB Oxford & Co. and Susan Blumenkrantz, (Respondents) Case Number: 98-02097 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, AH Moghadasi ("Moghadasi") and Karen Stampf ("Stampf"), hereinafter collectively referred to as "Claimants": Thomas L. Costa, Esq., Law Offices of Thomas L. Costa, Melville, NY. Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gerald Johnson, Eva Johnson and Rural Supply Hardware Corp., Claimants v. Josephthal & Co., Inc., Barren Chase Securities, Inc. and Rodney D. Sailor, Respondents Case Number: 98-01160 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants Gerald Johnson, Eva Johnson and Rural Supply Hardware Corp.: Richard Sacks Investors Recovery Service Novat