N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between Name of Cl31injUU(5) Robert N. Whitestone NASD Arbitration No.92-01171 Name of Respondents) Dean Witter Reynolds, Inc. Kent Sueinnicht For Claimant: Robert L. JJtehfield, Jr., Esq., Grass Valley, California For Respondents: Janet T. Love, Esq., Dean Witter Reynolds, Inc., San Francisco, California CASE INFORMATION Statement of Claim filed

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant* si nj jni ip A.G. Edwards &. Sons. Inc. 92-01170 Nanie of Respondent! s) James Shelton Long REPRESENTATION For Claimant A.G. Edwards & Sons. Inc.: Michael Gates. Esq.. in-house counsel at A.G. Edwards & Sons. Inc.. St. Louis. Missouri. For Respondent James Sheiton Long: John B. Finch. Esq.. iole practitioner. Raleigh. NC.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/^) Linda Rydel Case No. 92-01167 Name of Respondents) Andover Securities, Inc. Estate of Sidney P. Griffin, Sr. Griffin Financial Group REPRESENTATION For Claimant, Linda Rydel ("Ryder): Philip Snyderburn, Esq. of Snyderbum, Rishoi and Swann. For Respondent, Andover Securities, Inc. ("Andover"): Guy Bums, Esq. of Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dr. Emilio Sarabia, Trustee. HTC Dentistry Profit-sharing Plan 92-01165 Name of Respondents Shearson Lehman Brothers, Inc.; Drexel Burnham Lambert, Inc.: Smith Barney Harris Upham & Co., Inc.; Leonard Edward Kowitz: Roberto Villani REPRESENTATION For Claimant: Dr. Emilio Sarabia, Trustee, HTC Dentistry Proflt-Sharin

psait.EBfi. TWC. In the matter of the Arbitration Between Mama o George J. xirn, K.D. Nancy T. Xlrn NASD Arbitration Ho. 92-01161 of Ba F.idder, Peabody & Con^any, toe. Gregory F. Wilbur For Claimant* t Steven E. Loquaci, 30q./ Smith & Loquaci, Sao JOM, California For Raipoodentfli Eric 0. Wallia, Saq., Croaby, Raafay, Roach & May, Oalcland, California Statement of Claim filed: March 30, Claimants' Submission Agreement signed

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Gary L. Gisler and Carol L. Gisler and 99-03152 Scottsdale, Arizona Name of Respondents Josephthal & Co., Inc. Stefan Kaplan REPRESENTATION OF PARTIES Gary L. Gisler and Carol L. Gisler ("Claimants") were represented by Robert D. Mitchell, Esq., Mitchell Law Offices, Phoenix, Arizona. Josephthal & Co., Inc. ("Respondent Josephthal") and Stefan Kapl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lewis C. Sehellbach Case #92-01160 Nameof Respondent A. Gary Shilling and Company. Inc. REPRESENTATION For Claimant. Lewis C. Shellbach ("Claimant"). Thomas M. Campbell. Esq.. from the law firm of Smith Campbell & Paduano. For Respondent. A. Gary Shilling and Co.. Inc. ("Respondent"), Robert H. Gardner. Esq. from the law fi

AWARD NASD Regulation, Inc. Office of Dispute Resolution NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ernest D. (Bud) Olson 92-01158 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith Inc Michael Putnam REPRESENTATION Claimant was represented by A. Russell Janklow, Esq. of Johnson, Heidepriem, Miner & Marlow of Sioux Falls, SD and John E. Burke, Esq. of Sioux Falls, SD.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECrmmBS DEALERS In the Matter of the Arbitration Between Name of Claimant(g) Leo Rovin, Individually and as Trustee NASD Arbitration No. 92-01151 Name of Respondeqt(s) Shearson Lehman Brothers, Inc. Gregory C. Thompson REPRESENTATION For Claimant: Leo Rovin, Costa Mesa, California For Respondents: Gregory E. Copeland, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between; DELORES ROSE, Estate of JAMES A. ROSE, LAURA NOBLE, JANICE DUSTIN, JAMES ROSE, JR., DAVID ROSE and MARK ROSE, PUBLIC claimants. NASD File No. 92-01148 AWARD v. DEAN WITTER REYNOLDS, INC. and PETER J. CLARK, Respondents. For Claimants: REPRESENTATION Anthony v. Trogan, of weisman, Trogan, Young & Schloss, p.c. For Respondents