N.A.S.D. AWARD NMTCNAL ASSOdftllCN OF KMLTJRr'V I^S BEHERS In the Matter of the Arbitration Between 92-01450 Gnat Western Financial Securities Corp. Ann NeHberxy Joseph Albayati For Claimant: Dennis Riggi, lam Angeles, For PespnndHnta Great Western Financial Securities Gasp, and Ann ttasaezryt Ntocy j. Nelson, Esq., Great TTmitiiin Financial Securities Corp., ChataNorth, For Respondent Joseph Albayati: Nb ^ir^^'f'""* by Joseph Albayati State

ASSGdflTICN OF SH IH NJLS.D. AWARD DEAE in the Hatter of tba Arbitration Between Sen Corso Name of Raflpondent Dean Witter Reynolds, Inc. Stephen Lim Arbitration No.92-01448 For Claimant: Karl Itolii For Respondentst Janet Inc. , ?fln Francisco r Esq., Smith, Merrill & Peffer, San Ramon, Esq., and Elizabeth Pitt, Dean Witter Reynolds, Statement of Claim riled: April 28, 1392 Claimant's Submission Agreeognt signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Andrew A. Lang, Jr. 92-01446 Name of Respondents Wheat First Securities, Inc. Richard S. Kelso REPRESENTATION For Claimant, Andrew A. Lang, Jr. ("Claimant"), Thomas Schuchert, Esq. of Schuchert & Associates located in Pittsburgh, PA. For Respondent, Wheat First Securities, Inc. ("Wheat First"), Scott M. Ratchick, Esq. of

N.A.S.D. AWARD XATIQXAI ASSOCIATION OF SECURITTF3 DF.AI.FRS. IXC. In the matter of the Arbitration Between Name of Claimant Emily DeRham. Trustee of the R. Ian Story Trust NASD Arbitration No.92-01437 Name pt Respondent Eric Azari Pursuant to the parties' stipulation for entry of award against Eric Azari, the undersigned arbitrators hereby agree to the entry of that stipulation, attached hereto, as pan of the award in this matter. Pu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Louis Vladem 92-01433 Name of Respondents Shearson Lehman Hutton, Inc. Albert Zand For Claimant, Louts Vladem ("Vladem"): Patricia A. Shub, Esq. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Albert Zand ("Zand ): Debra A. Jenks, Esq. of Boose Casey Cikiin Lubitz Martens et al. CASE INFORMATION Statemen

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Daryoush. Javaheri Claimant vs. CASE #92-01432 AWARD Howard Bash Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 27, 1992, Claimant Daryoush Javaheri who appeared Pro Se, alleged that on February 24, 1992 Respondent R.G. Dickinson & Co. assigned a new broker. Respondent Howard Bash

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION^ INC, CASE: 99-03175 David R. Fairchild for Christian Caring Center Church of Holy Light, Claimant vs. Quick & Reilly, Inc. and U.S. Clearing a division of Fleet Securities, Inc. Respondents. ATTORNEYS: Claimant, Christian Caring Center Church of Holy Light ("Claimant"), appeared through David R. Fairchild, Ontario, Canada. Respondents, Quick & Reilly, Inc. and U.S. Clearing Division of Fleet Securit

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ben Butkus Case No. 92-01431 NameofResijttndentfsJ Prudentiai-Bache Securities Inc. For Claimant, Ben Butkus ("Butkus"): Randall Henley, Esq. of Henley & Brabham. For Respondent, Prudential Securities, Inc. ("Prudential"): Michael Arias, Esq. of Prudential. CASE INFORMATION Statement of Claim filed on: April 23, 1992. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herman and Rosalind Steinkoetter 92-01430 Name of Respondents Advest, Inc.; Newhard Cook & Co., Inc.; Christian D. Tompras REPRESENTATION For Claimants: Herman and Rosalind Steinkoetter were represented by Peter Sadowski, Esq. of The Stolar Partnership, located in St. Louis, Missouri. For Respondents: Advest, Inc. was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barry Potter 92-01428 Name of Respondents Paragon Capital Corporation George B. Levine Daniel Levine Frank J. Argenziano For Claimant, Barry Potter ("Potter"): Robin Corwin Campbell, Esq. of Atlas Pearlman Trop & Borkson, P. A., Fort Lauderdale, Florida. For Respondents Paragon Capital Corporation ("Paragon"), George B.