N.A.S.D. AHAKD NKTICNAL ASSOCUTICN OP SBCDR3TIES In the Matter of the Arbitration Behieen Name of Claimant: Gilbert W. & Myraa M. Je Name of Beepondent Guy C. Smith HMD Arbitration Nb.92-01520 For dains&ts! CLaiaanta mpgeeented theneelvea. For fieepondentt S.A. Bam, Esq., Salt Lain City, Utah Statawxt of Halm filed: May 4, 1992 daiaants 1 SubarLaaion Agreanent signed: J^ril 27, 1992 SfcatoDHnt of AnaMn: filed* DeneBfrer 11, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DHALRRS of The Richard A. Honquest Company Pension and Profit Sharing Trust 92-01516 Respondent David A. Noyes & Company For Claimant, The Richard A. Honquest Company, at the hearing: David J. Brassier, Esq. of Rooks, Pitts and Poust, Wheat on, Illinois . For Respondent, David A. Noyes & Company: Robert L. Cram, Esq. of David A. Noyes & Company, Indianapolis, Indiana. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert E. Miller 92-01513 Name of Respondents Dain Bosworth, Inc. and Don Nelson KCTRESENTATTON OF PARTIES For Claimant, Robert Miller, at the hearing: Robert D. Maher, Esq. of Best & Flanagan, Minneapolis, Minnesota. For Respondents, Dain Bosworth and Don Nelson, at the hearing: Tom Vitt, Esq. of Dorsey & Whitney, Minn

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between R. Clinton Pittman Claimant CASE #92-01511 AWARD vs. Shearson Lehman Brothers, Inc. Tony Giallourakis Frank Rowan Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 4, 1992, Claimant R. Clinton Pittman through his representative, Brian K. Lowe, Investor Arbitra

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #99-03180 Marcello Galluppi, claimant vs. Erik Sarlund, Evan Yaekel, Larry Lessley, OLDE Discount Corporation, respondents. ATTORNEYS: Claimant, Marcello Galluppi, appeared Pro Se., East Pointe, MI. For Respondents, Erik Sarlund ("Sarlund"), Evan Yaekel ("Yaekel"), Larry Lessley ("Lessley") and OLDE Discount Corporation ("OLDE"), appeared Corporate Counsel, David

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01508 AWARD In the Matter of the Arbitration Between Gilbert J. and Naomi Yablon Claimants vs. Stratton Oakmouc, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 1, 1992, Claimants Gilbert J. and Naomi Yablon, who appeared Pro Se, alleged that in May 1990 they were contacted by J. Burton Anderson of Respondent Strat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Joseph A. Vento _- and 92-01503 Name pf Respondent Boettcher & Co., Inc. REPRESENTATION OF PARTIES Claimant Joseph A. Vento appeared pro se. Respondent Boettcher & Co., Inc. was represented by William D. Nelson, Esq. of Robinson, Waters. O'Dorisio and Rapson. Denver, Colorado. CASE INFORMATION The Statement of Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Elaine Good Hubert F. Weidman NASD Arbitration No. 92-01502 Name of Respondents Paine Webber Incorporated Tom O'Connor REPRESENTATION For Claimant: Anthony M. Englese, Esq. - San Francisco, Ca. For Respondents: Joseph S. Schuchert, Esq. - Keesal, Young & Logan - Long Beach, California CASE INFORMATION State

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS INDUSTRY in the Matter of Arbitration Between Name of Claimant Prudential Securites inc. vs. Mame of Respondent Frank L. Fackovec Case#: 92-01501 REPRESENTATION For Claimant: Allen Meyer, Esq. of Katten Muchin & Zavis, New York, New York. For Respondent: Lawrence Mandelker, Esq. of Kantor Davidoff, Wolfe, Rabbino & Kas. New York. New York. CASE INFORMATION Statemen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Irving and Barbara Klotz NASD Arbitration NASD #92-01434 Name of Respondents Titan Capital Corporation John Macri For Claimants: Irving Klotz, pro se. For Respondents: T. Thomas Fleming, ffl, Esq., of Jones, Bell, Simpson and Abbott, Los Angeles, California. CASE INFORMATION Statement of Claim filed: April 30, 1992