N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant W.A.W. VanLimburg Stirum Case* vs. 92-00099 Name of Respondents Shearson Lehman Brothers, Inc. Theodore Peck For W.A.W. VanLimburg Stirum ("Claimant"), Robert J. Lane, Jr., Esq. of Hodgson, Ross, Andrews, Woods & Goodyear. For Shearson Lehman Brothers, Inc. ("Shearson") William Olshan, Esq., in-house counsel. For Theodo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. in the Manor of the Arbitration Between Name of Claimant Richard L. Hawley and 92-00098 Name of Respondents Southwest Securities, Inc. Alphonso Ragtand REPRESENTATION OF PARTIES Claimant Richard L. Hawley was represented by Coyt Randal Johnston, Esq. of Johnston & Budner, Dallas, Texas. Respondents Southwest Securities, Inc. Alphonso Ragland were represented by Robert Wr

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of che Arbitration Between Name of Claimant Georgia Colonias 92-00097 Prudential Securities Inc Gary Fox REPRESENTATION For Claimant Georgia Colonias ("Claimant") : Anthony J. Horn, a sola practitioner. For Respondents Prudential Securities Inc. ("PSI") and Gary Fox -("Fox"): Brian F. Amery, of Brassier, Amery et al. CASE INFORMATION Statement of Claim filed: January 10, 1992.

N.A.S.D. JOHD ASSOdftTICN OF SU.mUT.lES In the Matter of the Arbitration Janes R. Shaw vs. NMD #92-00091 Barry W. Itepby & Co., Inc. Barry w. ttxrpby For Claimant: daivant represented himself For Respondents: Barry W. Uophy, Boston MundbnuMtta Statement of Claim fil«ds January 9, 1992 CHadannt's Sitsd&slCB. JAgtBenent: gijnyJT DeovdMT 27/ 1991 Joint Statement of Anmmrr filed: J\joe 22, 1992 ReBpondacts* Subnlsfflca ngroammti flijnffd

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Allen August Claimant VS. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent SUMMARY CASE #92-00084 AWARD In a claim filed with the National Association of Securities Dealers, Inc. on January 9, 1992, Claimant, Allen August," who appeared Pro Se, alleged that Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. failed to sell h

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Yvonne Johnston CASE #92-00162 Name of Respondents Shearson Lehman Brothers, Inc. Paul McMahon REPRESENTATION For Claimant Yvonne Johnston: Eric Weiss, Esq. of Mintz & Fraade, P.C. For Respondents Shearson Lehman Brothers, Inc. and Paul McMahon: Paul Williams, Esq. of Schupbach, Williams & Pavone. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Tn the Matter of the Arbitration Between Name of Claimant Daniel L. Flanders No. 92-00161 of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. James E. NeunuebeL REPRESENTATION OP PARTIES For Claimants: Major W. Park, Jr., Esq. of Gage & Tucker, Kansas City, Missouri. For Respondents: Dennis M Pape, Esq. Vice President and Senior Counsel Merrill Lynch, Pierce, Fenner & Smi

H.A.S.D. AK&KD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Halen Gomes 92-00159 Addiscn Securities, inc. Richard J. Koch Claimant Halm Gomen ("Claimant") was represented by Martin J. Siegel, Esq. Respondents Addison Securities, Inc. ("Addiaon") and Richard J. Koch ("Koch") were represented by will S. Montgomery, E«q. .of the law firm of Jenkens t Gilchrist. Statement of Claim filed: January IS, 1992.

9 N.A.S.D. AHRRD NATIONAL ASSCCIATICN OP SECURITIES DEALERS Arbitration In the Matter of the Arbitration Between Name of Claimant(s) Donald P. Bridenstine, Jr. Name of Respondent (a) Bill Baker National Attochrtion of S*curttt*» Dealer*, Inc. One East Broward Boulevard Suite 1000 R. Uuderdale. Florida 33301 (305) 522-7391 Cue No. 92t«015» Claimant, Donald P. Bridenstine, Jr. (*Rri < Vf | p*'•*"^*) pro se.

N.A.S.D. NATXQ3AL RSSGdKFICK OP In the Matter of the Arbitration Between Nans of dainont Gary Menus vs. NASD #92-00157 Mama o SoitS. Barney Btrris Ofctann ft Go. , Inc. Jobn Sbaady Poor nalmant: Ann Aoderson Esq., Wbodland Hilla, For Saqpoodmta: Dov S. Schnchter, Esq. of Stadth Barnay Earria UJpbtBB & O New York, New York 0 £ rialm filed; January 15, 1992 lonod: Jaziuary 9, 1992 Statement of Answer filed by Reepondentas Febru