N.A.S.D. AWARD NKTICNAL ASSOdWICN OF SBCDRITTES DEALERS In the Matter of the Arbitration Between of Claimant Nathan Sclar, TTEE, Defined Benefit Trust II NASD Arbitration No. 92-00586 Cindy Bunley Dan ajnley Titan Value Equities Group, Inc. For Claimant: Ridci C. Ring, Esq. - Los Angeles, California For Raspcndant: Frederick A. Rafeedie, Esq. • Jones Bell Sinpson & Abbott Los Statement of na-hn filed: February 18, 1992 Claimant's

N.A.S.D. AHAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ray Miller Phyllis Miller va. 92-00468 Sentra. Securities Corporation Ellen H. Conoly For CLalnantss William L. Gaxfield, Esq., Los Gatos, For Reapondenta: Bruce J. Kuahall, Esq., Ruahall, IfcQee^rer And Sapplngto Statement of Claim filed: February 7, 1392 flaHtrnm^a' gii>»irlamirrt ItepPBBUBDtaB ffigPBd CDS tbTCb 2, 1992 Joint Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of (Claimant (s) S.F. Ford Name of ReapondenE(g1 Shearson Lehman Brothers, Inc. Robert Pacilio NASD Arbitration No. 31-04101 For Claimant: Eugene R. Salmons en, Esq., Beverly Hills, California For Respondent Shearson Lehman Brothers, Inc.: Stephen Young, Esq. and Michele R. Fron, Esq., Keesal, Young & Logan, Long Beach, Calif

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Claimant Shauna Russell vs. NASD ^91-4098 J. Alexander Securities, Chester Kmzell, Gordon and Company For Claimant: Jeff Ferentz, Esq. of Greenbaum & Ferentz of Newport Beach, California For Respondents: (J. Alexander Securities): Ralph Ferry, Esq. of Graven, Perry, Block, Brody & Quails of Los Angeles, California (C. Kruzell): Pro Se (

N.A.S.D. AHARD ASSOdflTICK OP- {?bli.!-TiH I'lTMg DEALERS la. tha Matter of the Aetoitration Between Robert & Miriam Doming vs. NASD #51-03962 Manna of Reapondeata Innovative Financial Planninc Financial Network Investment For Claimant; RiddL C. Ring, Sag;, of Los Angeles, California For Respondents! Shannon L. MeDougald of Ksesal, Young & Logan, Long Beach, Stataaaat of Claim filed* Durwiaez 16, 1991 daiaant's Sutedssicn Agreeomt signed* No

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sidney H. Levin, as Trustee of the Levin Family Trust NASD Arbitration No. 91-03894 Name of Respondent Shearson Lehman Hutton, Inc. REPRESENTATION For Claimant: Robert N. Block, Esq. - Mitchell, Silberberg & Knupp - Los Angeles, California For Respondent: Colin C. Swainston, Esq. - Keesal, Young & Logan - Long Beach

N.A.S.D. AWARD NATIONAL ASSOCTAITCN OF SECURITIES DEALERS in the Matter of the Arbitration Between of George a. Toste NASD Arbitration No. 91-03761 Name of Respondent (s) Dean Witter Reynolds, Inc. John J. Gardner Cecil Goodgame For Claimant: Mr. Anthony Eaglese, Esq. For Respondents: Mr. David Studley, Esq. of Dean Hitter Reynolds, Inc. CASK Statement of n«-im fnedi November 29, 1391 Claimant's Suhnlflaion Agreement signed o

Arbitration NATIONAL ASSOdATICN OF N.A.S.D. AWARD DEAIBRS In the Matter of the Arbitration BetMeen Irene Kutl 91-03726 NanneofRgsgcodgits Prudential Securities me William J. Drake National Association of Securities Dealer*. Inc. NASD Rnancal Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For daiaant: Katharine Nathan, Esq., from the law firm of BMNDSXS, BHEN3TEQ7 ft HRSSBMM? For Respondents: Pe

N.A.S.D. AWARD ASSQCianCK OP StXilRLTlES DERLEBS In the Matter of the Arbitration Between of n Mary C. Zinaneyer vs. NJVSD #91-03717 Name of Respondents Dean Witter Reynolds, Inc. Wayne D. Onnl Far Claimant; Jeffrey ML Janes, Esq., of the Law office of Archibald Mill, Old For Respondents: Curt H. 14ieller, Esq., of Dean Witter Reynolds, Inc., Son Francisco, Statamt of Halm filed: Nbvwrber 26, 1991 Claimant's Suboission Agzeonent

N.A.S.D. AWARD NftTICNRL ASSCXTATIdl OF SECURITIES In the Matter of tba Arbitration Between. Name of nadmant (a) Nicholas Segina Daniel Niclc Segina vs. 91-03587 Name of Respondent (s) Fidelity Brokerage Services, Inc. For Claimants: William R. Mama, Esq., Dcwey Brand Seymour. & Rotaer, San Francisco, For Respondent: Joan H. Ganiaray, Esq., Graham & Jamas, San Franci California Stateasit of halm filed: Nbvenber 14, 1991 Claimants