N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Alanna P. Tait 92-01328 Name of Respondent Merrill Lvnch Pierce Fenner & Smith Inc REPRESENTATION For Claimant: Arnold Weiss. Esq. of Raichle, Banning, Weiss & Stephens. For Respondent: Elizabeth G. Armstrong, Esq. of Merrill Lynch Pierce Fenner & Smith Inc. CASE INFORMATION Statement of Claim filed: April 10. 1992. Cla

N.A.S.D. AWARD ASSOCXKniCtI OF .*«!f«]('ii[ji'i'i uti DH3UERS In the Matter of the Arbitration Between NaneofCladjnant Michael Davis, Executor, Estate of Cpel Lea Davis NASD Mo. 92-01313 Name of Resrxmdmta Dean Hitter Reynolds, loo. Cheryl Sisas Marian Buljan For Claimant: Richard Sacks, luveaUua Recovery Services, Nbvato, Ca. For Respondents: David Restiano, Esq. Dean Hitter Reynolds, Inc. Statement of rialm filed: April 15, 139

N.A.S.D. AWARD MATIONAL ASSOCIATION QF SECURITIES DEALERS. TNC. In the matter of the Arbitration Between Name of Claimant* (s\ Phillip R. Nicholson of Resondent ( a ) NASD Arbitration No. 92-01316 Stratton Oakmont, Inc. Jeffrey Honigman For Claimant ; Irving M. Einhorn, Esq., Einhorn & Edgerton, Los Angeles, California For Respondent Stratton Oajcmont, Inc.: David M. Greenberg, Esq., San Francisco, California For Respondent Jeffr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Frances Marinoni Rita D. Marinoni Patricia Morley and 92-01313 Name of Respondents R.A. Johnson & Company, Inc. Charles Suzuki Derek Uyeno Chris C. Johnson Claire Singleton Ronald A. Johnson OF PARTIES Frances Marinoni, Rita D. Marinoni & Patricia Morley ("Claimants") were represented by Eric G. L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ PUBLIC John W. Jaeger, Jr.. Exec/TTEE 92-01311 Name of Respondents) Bear Stearns & Company Richard M Burridge REPRESENTATION For Claimant: John W. Jaeger. Jr. Executor/TTEE: Phillip H. Rubinstein. Esq. of John W. Giltman & Associates. For Respondents Bear Stearns & Co. Inc. and Richard M. Burridge: William Mallery, Esq., i

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George F. Gilbert 92-01310 Name of Respondents Janney Montgomery Scott Inc. Harold F. Fife For Claimant George F. Gilbert ("Claimant"): Anthony J. Horn. Attorney at Law For Respondents Janney Montgomery Scott. Inc. and Harold F. Fife (collectively referred to as "Respondents"): Elizabeth Hoop Fay. Esq. of the law firm of Morgan

J5nCIATIQN Of figgtTR3 PHM.EBfl. In the matter of the Arbitration Between Maureen J. O'Toole Terence P. O'Toola NftSD Arbitration Mo. 92-01308 of ttagoririH: Merrill Lynch/ Pierce. Fenner & salth, lac. Timothy H. Holt For claimant: Mb Appearance by claimants For Respondents: Dave Lenny, Baq. , Cala&asaa, California % Statement of Claim filed: April 13, 1992 Claimants' SubtoiBaioa Agreements signed as follows: Maureen J. O'Too

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John Peitzznan 92-01304 f Resondents Dean Witter Reynolds, Inc., Carl F. Nelson & Leslie A. Nelson RBPRBSKNTATJLOM OF RMCTIKS For Claimant at the hearing: Thomas B. Hatch, Esq. of Robins, Kaplan, Miller & Ciresi, Minneapolis, Minnesota. For Respondents at the hearing: Scott E. Richter, Esq. of Popham & Haik, Minneapolis

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In che Matter of the Arbitration Between Thomas G. Daniel & John Daniel, JTWROS Martina Ward & Thomas G. Daniel, JTWROS Claimants vs. Olde Discount Corporation Respondent CASK f92-01301 AMMO) CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 14, 1992, Claimants Thomas G. Daniel, John Daniel & Martina Ward, who appeared Pro Se, a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Phillip and Kathry Siegel et al. 92-01300 Name of Respondents The Ohio Company Dennis O'Brien REPRESENTATION For Claimants: Anthony V. Trogan, Esq. of Weissmann Trogan Young & Schloss. For Respondent, The Ohio Company: lames A. Francis, Esq. of The Ohio Company. For Respondent, Dennis O'Brien: Dennis J. Concilia, E