N.A.S.D. AWARD NATICKAL ASSOCIATION OF SEXHRITISS DEMJSRS la tbe Matter of the Arbitration Between. Nma of! Claimant (a) Sonalcl Plotldii vs. 90-03631 Claries Pankey For r ' 1j>< if"T*f T M^rb**! Paule, Investors Arbitration Services, Inc., Woodland HillSf < ^T ^ ft ft lit It , For Eimpmrlffnfc Kbber Financial Corp.: Dennis A. Graham, Esq., Hopper and Respondents *< nj jmH paokey represented thaaselves Stateoeat of n«im filedt

N.A.S.D. AWftBD NRTIQtBVL ASSOCIATION OF SECURITIES DEALERS in the Matter of the Arbitration Between o claimant Michael M. Ochsenschlager 90-03626 Merrill Lynch, Fierce Fanner & Smith Inc. and Frank T. Santana Michael M. Ochsenachlager was represented by Joel H Gceenburg, Esq., Chicago, IL. Merrill Lynch, Pierce Fanner & 3nith Inc. and Frank T. Santana ware sented by Arthur H. Sobel, Esq. of Marr-m Lynch, Fierce Fenner & Smith, M«M.* •**

>I.A.S.Q. ~i-< ARD '1ATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between~ Stephen and Patricia Kerch 90-03624 Name of Respondents Donald Gregory King For Claimant: Howard S. Eilen, Esq. of Bloom & Eilen. For Respondent: Did not appear at the hearing. Statement of Claim filed: December 26, 1990. Claimants' Submission Agreement signed: December 18, 1990. No Statement of Answer nor Submission Agreement was filed by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. - In the Matter of the Arbitration Between Name of Claimants David Pease and 90-03623 Name of Respondents Merrill Lynch, Fierce, Fenner & Smith, Inc. and Gerald A. Kearns REgaESENTRTTON OF PARTIES Claimant, David Pease was represented by David M. Foster, Esq. of David M. Foster, P.c. of Farmington Hills, Michigan and Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schlos

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ~n the Matter of the Arcitration Between Kyohei and Michie Murakami Claimants , AWARD vs. ) ) NASD *90-03620 PaineWebber, Inc. & j Vincent Serhan ) Respondents ) ' ) REPRESENTATION Claimants were represented by David N. Mahler, a representative of Mahler & Associates, Newport Beach, California. Respondents were represented by Scott .1. Ratcnicx, Esq., PaineWebber, Inc., Los

N.A.S.D. AWARD NATKMBL ASSOdftTlCH OF SECURITIES la the Matter of the Arbitration Between Hsne Of f r l*4i**mt'** 2ye Surgery Associates, Ltd. at al. . . Maria & Kathy Foamier John & Harry Fburnier 90-03617 Name of Respondents BnvienHnl -Bacbe Securities Inc. Robert SJdpton Claimants were represented by Howard J. Stein, Bag. of Bolleb & Gbff, Chicago, XlllnQis. Respondents ware rBpCTwntflri by William A. Bealy, Esq. of Pruden

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Lekkos, (Claimant) v. Morgan Stanley & Company Inc. (Respondent). Case Number: 99-02939 Hearing Site: Houston, Texas. REPRESENTATION OF PARTIES Claimant, Anthony Lekkos ("Lekkos"): Brett B. Stalcup, Esq. of Dallas, Texas. Respondent Morgan Stanley & Company ("Morgan Stanley"): David J. Beck, Esq of the law firm of Beck, Redden & Secrest, located in Houston, Texas.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01048 PaineWebber Incorporated, claimant vs. Gregory S. Crowley, respondent. ATTORNEYS: For Claimant, PaineWebber Incorporated, appeared Joel E. Davidson, Esq., and Lisa Catalano, Esq. of the Law Offices of Joel Davidson, Park Ridge, NJ. Respondent, Gregory S. Crowley, did not respond to the Statement of Claim. DATE FILED: March 9, 2000. CASE SUMMARY: Claimant alleged that Responde

Arbitration N.A.S.D. ANARD NATICNAL ASSOdKTICN OP SBCnRITTES DEALERS la the Matter of the Arbitration Between Name of fn^jTHarft'* E&axd & Maureen Kachinski 90-03616 \ Name of Donald and Go. Securities John. Sweeney National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 For Claimants B&ard 6 Maureen Kachinski ("Claimants' 1 ): William

Arbitration N.A.S.D. AWARD NKTIONftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Hugo Pezotti Arthur Goldstein Damon 0. Ttestawerde National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212} 858-4389 Case # 90-03612 For daiaant: Pro se. However, Claimant appeared at the bearing with his without objection fron Respondents. For