N.A.S.D. AWARD ASSOCiancN OF SBmm'i'iKg HEALERS In t±ie Matter of the Arbitration Between Jin L. Laura 0. George S. Sapp, Jr 91-01367 For Claimant: Jacob X. Clifton, Jr., Eaq., Johnson, Cliftco, Laraca fe P.C., ~ For Raapccdaat: Cbarlec D. Dsvldson, Bvq., Garwsy Schubert & Barer, Portland, Sfcatoneat of Claim flledt May 1, 1991 1 aimisaioa AqreniHnt sigaad oat JVme 3, 1991 Joint Stat«Hnt of JtoMMT fHad by Raapond«nt« McKaewr

N.A.S.D. AWARD NATIONAL ASSOCTATICK OF SECURITIES DEALERS In the Matter of the Arbitration Between Suzanne Cbarney vs. NASD #91-02007 Name of Respondents Bmfhorra, Inc. Ron Ma am For Claimant: John Lawrence Allen, Esq. / f^»T-i qharf f Ceilifoamia For Respcodeats: Timothy N. Will, Esq., Keesal, Ycwng & Logan, Tcng Beach, California. Statement of CHatm filed: Jlma 27, 1991 daixDBnt'8 *^ ii '^* | Ttgf | ^ c*

N.A.S.D. AWARD ASSOCIKnOT OP SBCCRnTES DEALERS In the Matter of the Arbitration Between. Leonard Wend vs. 91-01345 McRaever Securities, Inc. For dainant: Leonard Wend, las Vegas, Nevada For Respondents: Charles D. Davidson., Esq., Garvey, Schubert & Barer, Portland, Oregon. Statement of Hnim filedt June 24, 1391 dadmnt's 1 Q"}^'^ °g j < TP Asreesieat signed QUJ June 18, 1991 Statement of Ansnnji- filed by Respondent on: August 2, 1391

N.A.S.D. AWRSD ASSOdATicN OF sEComrns DEALERS In the Matter of the Arbitration Between, Kevin Jenkins, Trustee of the Jenkins Family Trust, U/D/T dated October 2, 1385 Claimant CASES vs. HMD #91-01714 NASD #91-01724 Bear Stearns & Co., Inc. Kayne, Anderson & Co. Respondents AND Sakarin Van Suwexmukul, Trustee for Suwennukul Family Trust vs. Bear Steams & Co., Inc. Kayne, Anderson. & Co. Fez- Claimants: Edward

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Eliahu Ben- Shmuel 91-01387 Name of Respondent s) Shearson Lehman Brothers. Inc. REPRESENTATION For Claimant. Eliahu Ben-Shmuel ("Ben-Shroud"): Jeffrey Crockett, Esq. of Coffey, Aragon. Martin & Burlington. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson"): Harry Walters, Esq. of Shearson. CASE INFORMATION

N.A.S.D.JWARD HATICKAL ASSOCQUCN OF SECURITIES DEALERS In the Matter of the Arbitration Between Thorn* B. Draatea _ June M. Drenten, JTNROS VB. 91-01356 Kane of Reaxndart(a) Batensn «M*M«p f Bin Richards, Inc. Dsvid T. ItoCuna For RMpcixkDtst ThOBBS M* Adao», Esq., Tanning Adaas & Lavi, Msrlaa del Rfl// Statanoat of nalm filed: April 30, 1591. ^* J^ril 22, 1991. Joint Statenaat of Jtoawar filed by PaapcffvVntai Jlily 3, 1991.

N.A.S.D. AWARD NAXICNAL ASSCCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Betveen Edward lannelli vs. NASD Arbitration NO. 91-01285 j. Alexander Securities, Inc. For Claimant: H. Ttaooe Fehn, Esq., of Fields, Fehn & Sherwin For RaBpondent: Ralph B. Perry, ill, Esq., of Graven, Perry, Block, Brody & Quails CASK Statement of Claim filed: April 23, 1991 Claimant's Submission Agreement signed on: April 8, 1991 Statement

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: I. Spear Leeds & Kellogg vs. Bullseye Securities, Inc. II. Bullseye Securities, Inc., vs. Spear Leeds & Kellogg, Pasquale Schettino, Gary Goldring, Robert Lewis and Lawrence Securities, Ltd. III. Pasquale Schettino vs. Joseph and Eva Roffler Case Number: 99-02963 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Bullseye Securities, Inc., ("Bullseye"), and J

N.A.S.D. AWARD NRTIONAL ASSOCIATION OF SECURITIES DEALERS »ri:itr?.tior. Jack & Naomi Cohan vs, 91-01207 of Respondent f s\ Kennedy, Cabot & Company Marie O'Mahoney For Claimants: Ridci C. Ring, Esq., Loe Angeles, California. For Respondents: George Kupper, Esq., Kennedy, Cabot & Company, Beverly Hills, California. C&SK Statement of Claim filed: April 16, 1991 Claimants' Submission Agreements signed: Jack Cohen - April 9, 1991 Na

N.A.S.D. ASSOCIATION OP {jtfJjm 1 * 1 * ^ DEALERS In the Hatter of the Arbitration Between of Dahlquist-Zube aka Mft'i^'j"? Dahlxjuist va. NASD #91-01144 Ntoe of Respondents Batanem Eichler, Hill Richards, IDC. Harry Chan, Jr. For For Raepondentst A. Brad Busscber, Esq., Kanper Securities Group, Inc., Statement of Halm filed: June U, 1391 AgrceoioQt sl^oedt Mcrcli 30, 1991 Joint Stateoent of AESMBT filed: Decedser