N.A.STD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Monica Flanagan 92-02082 Name of Respondent ^ Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant: Joseph F. Keenan, Esq. of Bochat & Keenan, P.C. For Respondent: Robert A.W. Boraks, Esq. of Boraks & Jamnback. CASE INFORMATION Statement of Claim filed: June 19, 1992. Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name i>f n CJaiman{ Sandra Bender 92-02080 Name of Respondents Smith Barney Harris Upham & Co., Inc. Richard T. Carlin, Jr. John Maine Ronald H. Reisman REPRESENTATION For Claimant Sandra Bender ("Claimant"): Claimant originally appeared pro se. On April 19, 1993, Claimant retained counsel: A. Charles Peruto, Attorney at Law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECLTUTTES DEALERS In the Matter of the Arbitration Between Name^>f Clajmant Jeffrey Brooks Securities, Inc. 92-02077 Name of Respondent J. Gregory & Co., Inc. For Claimant Jeffrey Brooks Securities, Inc. ("Claimant"): Michael G. Shannon, Esq. of the law fiim of Phillips, Lytle, Hitchcock, Blain & Huber located in New Yoric City, New York. For Respondent J. Gregory & Co., Inc. ("Respondent"): Jeffrey S.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmant(s) Leslie A. Ellsmore Victoria A.M. Brown NASD Arbitration No. 92-02075 Name of Respondent^ Paine Webber Incorporated Ralph Amato REPRESENTATION For Claimants: Leslie A. Ellsmore, San Diego, California For Respondents: Scott M. Ratchick, Esq., PaineWebber Incorporated, Los Angeles, California CASE INFORMATION

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lawrence S. Schmitt 92-02072 Name of Respondents Prudential Securities Inc John Beisner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1992, Claimant Lawrence S. Schmitt, who appeared Pro Se, alleged that Respondent John Beisner, while employed by Respondent fi

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Daniel A. Romaniello Claimant CASE #92-02070 AWARD vs. Stratton Oakmont Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1992. Claimant Daniel A. Romaniello who appeared Pro Se. alleged that Respondent Stratton Oakmont, Inc. by and through Mitchel Goldberg, regi

NASD Arbitration No.92-02063 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Margaret Mary Jane Owens Name of Respondent's) Oppenheimer & Co., Inc Donald B. Zwiebel REPRESENTATION For Claimant: Chris R. Youtz, Esq., Sirianni & Youtz, Seattle, Washington For Respondents: Louis D. Peterson, Esq., Hillis Clark Martin & Peterson, Seattle, Washington CASE INFORMATI

Award NASD Dispute Resolution, Inc. In the Matter of the Aititration Between Name of Claimant DeAnn P. Thomhill Case No. 99-03209 Names of Respondents Delta Asset Management Company, L.L.C. Robert McCarter REPRESENTATION OF PARTIES DeAnn P. Thornhill, hereinafter referred to as "Claimant", appeared pro se. For Delta Asset Management Company, L.L.C. ("Delta") and Robert McCarter ("McCarter"), hereinafter referred to as "Respondents": Chri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Abdul Al-Shabli Latifa R. Al Omer NASD Arbitration No. 92-02061 Name of Respondents') Mohammad Rahman REPRESENTATION For Claimant: Keith A. Ketterling, Esq., Stoll Stoll Berne & Lokting P.C., Portland Oregon For Respondent: Frank H. Lagesen, Esq., Cosgrave, Vergeer & Kester, Portland, Oregon CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Innovating Worthy Projects Foundation Irving W. Packer Case No. 92-02060 Name o/ Resoondent(s) A.G. Edwards & Sons, Inc. David D. David REPRESENTATION For Claimants, Innovating Worthy Projects Foundation ("Innovating") and Irving W. Packer ("Packer"): Randall Henley, Esq of Henley & Brabham , P.A. For Respondents, A.