NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Charles B. Webber Claimant(s) vs. Robert S.C. Peterson, Inc., Prudential-Bache Securities, Inc. and Al Larson Respondent(s) NOTICE OF ARBITRATION AWARD 87-00264 CASE SUMMARY Claimant(s) Charles B. Webber alleged that Respondent(s) Robert S.C. Peterson, Inc., Prudential-Bache Securities, Inc. and Al Larson executed an unauthorized purchase and

NASO N.A.S.D. AWRRD MRTlCNftL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitenai! Street New York. New York 1000' In the Matter of the Arbitration Between Susan Blumenthal Stix vs. Ngme of Case * 88-02311 AMRD Shearson Lehman rfiitton, Inc. James Bresman Claimant, Susan Blumenthal Stix, alleges that Respondents, Shearson Lehman Hutto

N.A.S.D. AWARD NMTCKM. ASSOCmiCN OF b'HAIRlTUJJ DEALERS la the Matter of the Arbitration Between Harrison L. & Saznnie L. Harris, JIKROS vs NASD Arbitration No. 91- 01619 Adams Securities, Inc. Brian Coughlin par Claimant: la Pro Se For P«*B^» ^i^an^gf r>»»H«^ Bagdanov - OT? ^anfa officer for Securities, Inc. " - Trt pro Se Statement of ^»< » filed: May 24, 1391 Subndsaioa Agreement signed out ifey 18, 1991 Statement of Answer

N.A.S.D. AWARD NftTICNAL ASSOCIATXCN OF SECURITIES DEALERS In the Matter of the Arbitration Between. Name of Lynn M. Coyne vs. 91-01358 Sbearson Lehman Button, Inc. Karl Grace Ellen TaJsagi Par Claimant: Michael L. Paule, Investors Axbitxaticn Service, Woodland Hills, California For Beepondents: Terry Rosa, Esq., Keesal, Young & Logan, Long Beach, California. Statement of ^-»« filed* April 30, 1991 daiamt's Suboisalon Agreement s

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Earie E. & Patncia A. Kruggel, Raymond J. and Jane M. Daul. Eagle Plumbing Profit Trust, Eagle Plumbing Company NASD Arbitration NASD #91-01330 Name of Respondents Prudential-Bache Securiites, Inc. PaineWebber. Inc., Marshall J. Field REPRESENTATION For Claimants: H. Thomas Fehn, Esq., of Fields, Fehn & Sherwin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James R. Hogg Case No. 99-02268 Name of Respondent Edward D. Jones & Co. REPRESENTATION OF PARTIES For James R. Hogg, hereinafter referred to as "Claimant": L. Jerome Stanley, Esq. of L. Jerome Stanley, P.C., Baton Rouge, LA. For Respondent Edward D. Jones & Co. ("Edward Jones"), hereinafter referred to as "Respondent": Lisa A. Nielsen, Esq. of

N.A.S.D. NWXCMRL AssociancN OP sfcuimihs DEALERS In the Matter of the Arbitration Between of Shnrman & LlTvIa P. Mideell, individually and as Trustees Jexone, Luana & Stacey Mickell, Trustees et al. Dolores Micfcsll vs. HMD #91-01296 Bear Steams & Coageoy, Inc. Arthur Mishlar For claimants ; WHliam F. Davis, Ssq. , Pacific Palisades, FOOT Respondents: Antbooy Pacbeoo, Esq., MoCaotoidge/ Deixler/ itanoaio & Goldberg 1 / Tioa Angel

N.A.S.D. AKAKD NAHCNAL ASSOCIftlTCH OF SHJUklTitS DEALERS la tbe Matter of the Arbitration Between Mariaa Hutzley Curtis W. Hutzley II Rosemary E. Butzley vs. 91-01247 Name of Respondent < s) Wilshire Discount Securities Eugene Roach Brie Roach For claimants: Ridd. C. Ring, Esq., Los Angelas, Califcaaaia For ReepoDdentss WlUhire Discount Securities & Eugene Roach: Eugene Roach For Respondent Eric Roach: Brie Roach Statement of Hal

N.A.S.D. AWARD ASSQCIATXai 0? StUmi'mS DEALERS In the Matter of the Arbitration Between Name of Claimant Eleanor De rribm NASD Arbitration vs. No. 91-00913 Name of Rf"*! "Aidants I&lttOtt, XQC. Michael Faraii For Claimant: David C. Hinshsw, Esq. - Gansinger t*4 *"»*««•» Buckley & Schau For Bespondent: Michael M. Glass, Esq. - Keesal Young & Logan Statonaat of Halm £Ued: March 21, 1991 Claimant's Submission Agreanent signed ons March

N.A.S.D. -AWARD SATICNAL ASSOCIATION OF SECnRITTES DEALERS In the Matter of the Arbitration Between of f San Jose Central Seventh Day Adventist Oairch vs. 91-00814 Name of Respondent (a) PaineWebber, Inc. Jobn T. Moore For Claimant: ftferfc H. Pierce, Esq., Olson ft Pierce, San Jose, California. For Respondents! Judy Louie, Esq., PaineNebber, Inc., Los Angeles, California Stateuct of «^»«^ filed: Much 13, 1991 dainmt's Submission Agv