N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Thomas Haverstock, Michael McCarthy Bradley Krey, and Richard Paulson vs. Name of Respondent/Third Party Claimant Citicorp Securities Markets, Inc. vs. Third-Party Respondent Donald Wallace 91-02032 (consolidated with 91-02239, 91-02038, 91- 02039) ITION OF PARTIES Claimants, Thomas Haverstock in case number 91-02032, Michael McCarthy in case numb

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Linda M. Greenblatt 91-01644 Name of Respondent(s) Shearson Lehman Brothers, Inc. Kenneth C. Silva REPRESENTATION For Claimant Linda M. Greenblatt: David J. Molton, Esq., of the law firm of Molton & Meekins, New York, N.Y. For Respondent Shearson Lehman Brothers, Inc. ("Shearson") and Kenneth C. Silva ("Silva"): Brian F.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence E. Lee, MD, and Edward Alpert, MD, Trustees of the Allergy Clinic of South Macomb, PC, Employees Profit Sharing Trust 91-00993 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; David A. Stulberg REPRESENTATION For Claimants: Lawrence E. Lee, MD, and Edward Alpert, MD, Trustees of the Allergy Clinic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between, Name of Claimant Ruth E. Beck NO. 91-00981 Name of Respondents Edward D. Jones & Co. John Bachxnan Ronald J. Scariano RBPRBSKNTATIOH OP PARTIBS For Claimants: Ruth E. Beck appeared pro se. For Respondents: Cynthia Doria, Esq., Assistant General Counsel, Edward D. Jones & Co. CASE INFORMATICS Statement of Claim filed: March 26,

Award XASD Dispute Resolution, Inc. I n the Matter of the Arbitration Between Name of Claimants Matt Skittle. Matt Skittle, Jr., Elena Skittle, a/k/a Elena Skittle-Watson, Sharon Skittle, indix ivkiLiliy und zis custodian for CassaiiUin Skiule uiul Curly Nicole SkiLi'c Name of Resuondents Case No. 99-02946 William J. Zalewski PaineWebber, Inc. Hearing Location: Pittsburgh, PA Claimants, Matt Skittle, Matt Skittle, Jr., Elena Skittle, a/k/a Elena

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of Claimants Arthur and Lenore Olson; Estate of Donald Bennett; Madeline Dantuma; Ara Louise Olson; and E. Taliaferro French and Dorothy French Consolidated Case No.3 91-00635^ » 91-00637; 91-00653; 91-00663; 91-02068 of Resondents Mutual Service Corporation John M. Culbertson RBPRRSBSTATION OF For Claimants: Steve Samson,

N.A.S.D. AWARD RATIONAL ASSOCIATION QF SECURITIES DEALERS. INQ. In the matter of the Arbitration Between e of Claimant (s) Lois Landau Kenneth Landau NASD Arbitration No. 91-00314 Name of Respondent Is) Talley, McNeil & Tormey, Inc. Richard William Talley Sidney L. McNeil Robert Tormey Charles C. Gray REPRESENTATION, For Claimants: Dilworth A. Nebeker, Esq., Haws, Record, Williford & Ma gnus son, Santa Barbara, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Jean Litz as Personal Representative of the Estate of Dr. Jean E. Litz 91-00143 Name of Respondent Sidney D. Cohn REPRESENTATION Claimant Jean Litz as Personal Representative of the Estate of Dr. Jean E. Litz ("Claimant") appeared pro se. For Respondent Sidney D. Cohn ("Respondent") appeared Charles M. O'Rourke, Esq., a sol

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s^ Norman Mikus Roberta Mikus 90-03666 Name of Respondent(s) Michael Wayne Glazer PUBLIC REPRESENTATIONS The Claimants appeared pro se. The Respondent did not appear. CASE INFORMATION Statement of Claim filed: December 28, 1990. Claimant Norman Mikus's Submission Agreement signed on: May 13, 1991. Claimant R

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. in the Matter of the Arbitration Between William G. Boyd Claimant vs. Caao 490-03653 Stuart-James Company/ Inc. Respondent AHARD f! fiE Pro Sa Claimant, William G. Boyd, in a claim filed with the National Association of Securities Dealers, Inc. on December 28, 1990, alleged that Respondent, Stuart-James Company, Inc. misrepresented the returns and risk involved in Independent Air