N.A.S.D. AWARD NATICNAL ASSOCIHTCN OP SECDRITIES DEALERS la t±a Matter of the Arbitration Between Of Robert L. Moisoff Sylviann L. Molsoff vs. NASD #91-03118 t^3tm» of p«Mfl » • i/^apfrq jjkidix is. Idcfciss, Danville Financial Group, Inc., GrotDf Inc. , Linsco/Private Ledger Corp., Financial Network Investment Corp. For daiaants: Darryl P. Rains, Esq., a-nd William N. Gerscn, Esq., M & For Raspondaata: pvfrrin E. T f

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Horace E. Walsh Case No. 99-02977 Names of Respondents Joseph Humberto Castro The Golden Lender Financial Group, Inc. Lee Matthew Solomon, Jr. Roman Sakharovich Kenneth Robert Lauher Konstantin Tokar REPRESENTATION OF PARTIES For Horace E. Walsh ("Walsh"), hereinafter referred to as "Claimant": Joseph Bilotta, Esq., Vassallo andBiiot

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant (g) Barbara R. Caddoo William L. Caddoo vs. 91-02890 of SeaoondBnt (a) Prudential Securities, Inc. Anthony Galante Allan Duncan For Claimants: Dominic P. Gentile, Esq., Gentile, Porter It Kelesis, Las Vegas, For Reapon'denta Prudential Securities, Inc. and Allen Duncan: Michael M. Gleas, Esq., Keeaal, Young & Logan, Long Bea

N.A.S.D. AWARD NKTICKRL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of C3?]*"*"t(a) Jo Anne Yananoto vs. 91-02781 Name of Respondent (3) Arthur AldexDan For Claimant: H Tbanas Fehn, Esq., Fields, Febn & Sherwin, Los Angeles* California For Respondent: Arthur Nakazato, Esq., Klrcher & Nakazato, Newport Peach, California Stateaent of Hnlm filed: Septeober 5, 1991 Claimant's Submission Agreement sign

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Jerine D. Schoenwaid NASD Arbitration N< K 91-02660 Name of Respondent Sutro & Co., Inc. REPRESENTATION For Claimant: Archibald M. Mull, Esq., Sacramento, California. For Respondent: Douglas A. Kuber, Esq., Jones, Day, Reavis & Pogue, Los Angeles, California CASE INFORMATION Statement of Claim filed: August 22, 1991 Claim

M.A.S.D. JWAKD AssociKncii OP SHCUI^ IT * ^ DEALERS In the Matter cf the Arisitratioa Between Ruth E. Davidson, ind/atty-in-fact C/b/o Clyde and Margaret Creal 91-02592 Name of BeHpmrienta ^ Traub & Company, Inc. Steven A. Heao WilllanxR. VanDeman claimants j Mark E. Maddcoc, Esq. of Cncnn & Saint, For KaqpaodantS! Soott E. Tarter, Eaq. of Henderson, Daily, Wi throw & DeVbe, Statement of fi«-ii« filed August 21, 1991. ' dainant'a Sub

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of (Claimant George C. Messenger, Individually and DBA. Ronda Fund, Dargon Fund, Crystal Fund and Tasman Fund NASD Arbitration No. 91-02537 Name of Respondents First Options Bateman Eichler, Hill Richards, Inc. REPRESENTATION For Claimant: Michael L. Maduff, Esq. - Chicago, Illinois For Respondent: First Options - Marshall E. H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Joan Ross Murphy Joanie Castle NASD Arbitration No. 91-02508 Name of Respondents') Gruntal & Co., Inc. Milton Stanson Peter Vita Jay Gurley Maurice Conn REPRESENTATION For Claimants: Lionel Z. Clancy, Esq., Beverly Hills, California For Respondents: Eric S. Hutner, Esq., Gruntal & Co., Inc., New York, New

N.A.S.D. AWARD NATICNAL ASSOdMTCN OP SECURITIES DEALERS Tn bha Matter of Hya Name of Rcbert E. White, Individually and on behalf of the estate of K. White NASD Arbitration No. 91-02420 Of Assocxaced Planners Securities Corporation. Private Ledger Financial Services Harry Bartolonei For Claimants: Janes J. Sullivan, Esq., F&*i Francisco, For Respondents: Associated Planners Securities ^"juc^iat j T* a nd Sury ^Ttiolfnf

Arbitration N.A.S D. AWARD National Association of Securities Dealers. Inc. ,^.^-^.T., , n ,w~r»,mv» ™, . -^ . ......... -. Tsr^rr-w,,, NASD Financial Center NATICNAL ASSOdATICN OF SECURITIES DEALERS 33 Whitehall Street _ New York. N.Y. 10004 In the Matter of the Arbitration Between ^AX (212)858-4389 Name of Claiman Richard St 91-02294 Name of Respondent (sL Dean Witter Reynolds Inc. John For Claimant: Andrew Miller, Esq. of