NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00266 AWARD In the Matter of the Arbitration Between Anthony J. Russo Claimant vs. Hibbard, Brown & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1992, Claimant Anthony J. Russo by and through his counsel, Robert I. Rabinowitz, Esq., Sole Practitioner, Red Bank, New Jersey, alleged that on May 10, 19

N.A.S.D. AWARD NATIONAL ASSOCIAITON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara Stravitz Steven Stravitz Paul Stravitz Susan Stravitz Andrew Stravitz 92-00263 Name of Respondents Gary Goldberg & Company, Inc. Gary M Goldberg For Claimants Barbara Stravitz, Steven Stravitz, Paul Stravitz, Susan Stravitz, and Andrew Stravitz ("Claimants"): William A. DeLorenzo, a sole practitioner. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Beacher 92-00260 Name of Respondents Concorde Brokerage Corp, Michael Eisenberg REPRESENTATION For Claimant, Robert L. Beacher: James P. Newell, Esq. and Robert L. Beacher, pro-se. For Respondent, Concorde Brokerage Corp.: Michael F. Bachner, Esq., a sole practitioner. For Respondent, Michael Eisenberg: Michael Ei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimants Ken Bergeron. Mary Ann Bergeron. Advanced Business Telephone Profit S.P.. ABT Inc.. ABT Trust. Gerald Bergeron. Cathy Bergeron, lodd Bergeron, and Daniel Bergeron 92-00257 Name of Respondents Shearson Lehman Hutton. Inc.. Ivan Hovey, and Chuck Sjostrom For Claimants at the hearing: David A. Brueggemann. Esq. of Arnold

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Herschel G. Levy, as custodian for Erika Golub, Jennifer Garcia, Mark Golub and Michelle Garcia Case No. 92-00250 Name of Respondents) Robyns Capital Corporation Richard Monivis Rosenkrantz Lyon & Ross, Inc. Claimant, Herschel G. Levy as Custodian ("Levy"): was pro SJE. For Respondents, Rosenkrantz Lyon & Ross, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants John C. and Shanna Olness 92-00248 Names of Respondents Biltmore Equities and Securities. Ltd., Robert A. Quiel, Larry H. Malenfant. Michael L. Quiel and Mark P. Malenfant Claimants, John and Shanna Olness were represented by Barry H. Hart, Esq. of Scottsdale, Arizona. Respondent, Biltmore Equities and Securities.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Milton Padowitz 92-00244 Name of Respondent Dean Witter Reynolds, Inc. For Claimant, Milton Padowitz ("Padowitz"): Robert E. Weisberg, Esq. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Bradford D. Kaufman, Esq. of Steel Hector & Davis. CASE INFORMATION Statement of Claim filed: 1/22/92. Claimant's Submission Agre

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00243 AWARD In che Matter of the Arbitration Between Diane L. Errickson Claimant vs. Shearaon Lehman Brothers, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 22, 1992, Claimant Diane Errickson, who appeared Pro Se, alleged that on September 24, 1990, her husband, John W. Errickson contacted Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Chow and Sui Chow, (Claimants) vs. A.S. Goldmen & Co., (Respondent) Case Number: 99-03050 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David Chow and Sui Chow, hereinafter collectively referred to as "Claimants", appeared pro se. Respondent, A.S. Goldmen & Co., hereinafter referred to as "Respondent", did not make an appearance in this matter

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Deanna Johnson, Clint A. Johnson, Karen L. Pushkin, Ralph V. Johnson, Glenda F. Johnson f/k/a Glenda Alsip and The Alsip Family Trust, Glenda Johnson Trustee, Claimants v. SunAmerica Securities, Inc. and Edwin J. Torres, Respondents Case Number: 05-02167 Hearing Site: San Francisco, California Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIE