NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert Tarrington Helen S. Tarrington Qaimant(s) ORDER vs. CASE NO. 92-00868 Prudentiai-Bache Securities Inc. John Eisele Jerome Ira Baron Respondents) ORDER OF PANEL ASSESSING FORUM FEES On June 22,1993, after completing a total of eight hearing sessions conducted on May 18,1993, May 19, 1993, June 21, 1993 and June 22, 1993, the panel signed an Order of

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Michaelis Development, LLP and Mark J. Phillippe and 99-03104 Indianapolis, Indiana Name of Respondents Redstone Securities, Inc. Evgeny Rubin, Jr. Thomas W. Laundrie Richard J. Belz Gary I. Purcell Vincent R. Drohan REPRESENTATION OF PARTIES Michaelis Development, LLP and Mark J. Phillippe ("Claimant") was represented by Thomas A.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration" Between Name of Claimants Bernard Halper and Barbara Halper 92-00864 ' Name of Respondents Dain Bosworth, Inc. and Elmer Schindel ~~ REPRESENTATION OP PARTIES For Claimants: Ted S. Meikle, Esq. of Fredrikson & Byron, Minneapolis , Minnesota . For Respondents: James B. Lynch, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between PliRLlC Name of ClaimantfsJ) Iris F. Agar 92-00862 Name of Resoondent(s) Shearson Lehman Brothers, Inc. Brenda Baxter Terry Sherman REPRESENTATION For Claimant Iris Agar: Morgan Bentley, Esq. of the law offices of Morgan Bentley. For Respondents Shearson Lehman Brothers, Inc., Brenda Baxter and Terry Sherman: Paul Williams, Esq. of Schu

PUBLIC NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Marie R. DiPalma Claimant CASE #92-00859 AHARD vs. Empire National Securities, Inc. Joseph L. Aliotta Respondents CASH SCTMARY In a claim filed with che National Association of Securities Dealers, Inc. on March 12, 1992, -Claimant Marie R. DiPalma by and through her counsel Katherine C. Phufas, Esq., Sole Practitioner, North Tonaw

N.A.S.D. ANARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Hatter of the Arbitration Between ) of Claimant(s) ) Paquita Heraey ) ) Case Mo. 92-00853 Mane of Respondent(s) ) ) Prudential-Bache Securities Inc. ) Bemlce Freeland ) For Claimant, Paquita Horsey ("Hersey"): gco se. For Respondents, Prudential-Bacha Securities, Inc. nka Prudential Securities, IDC. ("PSI") and Bexnice Freeland ("Freeland"): Nancy Basri, Esq. of PSI

NASD Arbitration No. 92-00848 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Bernice Bortson Siegel Name of tfespondentfs) Shearson Lehman Hutton, Inc. Ron Mason Mark Martino REPRESENTATION For Claimant: Bruce R. Safran, Esq., Sherman Oaks, California For Respondents: Timothy N. Will, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00847 AWARD in che Matter of the Arbitration Between Daryoush Javaheri Claimant vs. R.G. Dickinson & Co. Lyle Perlmutter Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1992, Claimant Daryoush Javaheri, who appeared Pro Se, alleged that in January 1992 based on a referral from his friend, Ali Reza

N.A.S.D. AWRHD NKITCNRL ASSOCIATION OF SECORITTES In tha Matter of the Arbitration Between Of < " r la'< Tnpqf g & Shabxouz Vazan vs. NASD #92-00846 Name of Merrill Lynch, Pierce, Fanner & arith, me. Oasan Faiz For Claimants: Michael A. Bertz, Esq., LOB Angeles, California For Respondents: V. Jamas Mann, Esq., Merrill, Lynch, Fierce, Feoner & Sbdth, Inc., Haw York, Mew Yodc. Statement of nnim filed: March 10, 1992 Awoded Statan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rodney D. Cook, individually and As C/F Brandon D. Cook NASD Arbitration No. 92-00841 Najme of Respondents Dean Witter Reynolds, Inc. Tom Chronert Robert S. Harshman REPRESENTATION For Claimant: Lionel Z. Glancey, Esq. - Beverly Hills, California For Respondents: Dean Witter Reynolds, Inc. and Tom Chronert - Timm A