N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. 95-01687 Name of Respondent Gerald L. Leal REPRESENTATION For Claimant PaineWebber, Inc. ("Claimant") appeared Evan J. Charkes, in-house counsel for PaineWebber, Inc., located in New York City, New York. For Respondent Gerald L. Leal ("Respondent") did not appear at the hearing. CASE INFORMATION The St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 95-00562 Name of Respondent Gary S. Heller CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2, 1995, Claimant Corporate Securities Group, Inc., through its representative and in-house counsel, Gregory Tendrich, Esq., Boca Raton, FL, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant MTI Business Schools of Sacramento, Inc. 93-04170 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim Tiled with the National Association of Securities Dealers, Inc. on October II, 1993, Claimant MTI Business Schools of Sacramento, Inc. who appeared through its representative, John Zimmermann (CEO) alle

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl George J. Wallace Gary and Meg Wallace CONSOLIDATED CASES 9%0ia« and 92-02822 Name of Respondents) Yaeger Securities, Inc. Yaeger Capital Markets Norraa Yaeger Robert Neiditch John Barrett REPRESENTATION For Claimants: Robert M. Roth, Investors Arbitration Services, Inc., Woodland Hills, California Fo

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between , ' •• ' '~^ r ""^ ^ N f ame of Claimants) fj CCT - " ,^3 fjj - " ,^3 U\-^^^"'C~^i Charles M. Russell First American Bank '••— —- Essenbee & Co. First Institutional Securities Coip. Case No. 92-00549 Name of Respondents) A. Webster Dougherty Inc. Allison Rosenblum & Hannahs Masters Financial Group

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant N.A.S.D. AWARD PUBLIC Seymour Millstsin 91-02394 Name of Respondents Smith Barney, Harris & Upham & Co. Inc. Gregg F. Gallagher REPRESENTATION For Claimant Seymour Millstein: John Rogers Carroll, Esq-. of Carroll and Carroll . For Respondents Smith Barney, Harris & Upham & Co., Inc. and Gregg F. Gallagher: Joan Guggenheimer , Esq. of S

NATIONAL ASSOCIATION CF SECURITIES DEALERS, INC. In. che Matter cf the Arbitration Between Catherine L. Daidone, Gordon A. Soeder and Linda G. Smith Claimants vs. CASE #91-00342 AWARD Catherine L. Daidone vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITH CASE #91-00610 AWARD Gordon A. Soeder vs. Sherman FitzpatricJc & Co., Inc. CONSOLIDATED WITH Clnda G. stmcn vs. Sherman Fitzpatrick i Co. , Inc. Sherman Fitzp

N.A.S.D. AWARD ASSOCIATICN OF SECURITIES DEALERS In the Mattes: of the Arbitration Between Name of Roy Davidson Nancy Davidson NASD Arbitration No. 91-02009 Name of Resnondent(s) §^S^^mr5lSart BjQHwrp, Inc. Arthur PfMyhng For c r LgH Tn c |r|< 'g- Irving M« EHyflvTrn, Esq. , Ifs Angeles, For Respondents: Timothy N. Will, Esq., Keesal, Young and Logan, Long Beach, California William A. HnJhmwer, Esq., Shear

N.A.S.D. AHARD NKTICNAL ASSOCIATION OF SHJJklTiSS DEALERS la t±e Matter of the Arbitration Between Gae C. Preston. 91-01933 First Affiliated Securities, me.; J.P. Bobn & Co., IDC.; J. P. Beta; Joe Stafford; Bettor Securities d/b/a First Affiliated Securities, Inc. Far ni«< «»tH-« GM c. Preston was leyKuseuted by MnJc X Glasser, Bsg> and Ctuori T^< nm»n f Ewi. of Porter ft CXenentBr located in ^* For fieepoodents First Affiliate

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02249 Antonio Vernon, claimant vs. Web Street Securities, Inc., respondent. ATTORNEYS: Claimant Antonio Vernon ("Claimant") appeared Pro Se., St. Louis, Missouri. For Respondent Web Street Securities, Inc. ("Respondent"), appeared in-house counsel, Sara S, Lippold, Esq., Deerfield, IL. DATE FILED: 05/17/1999 CASE SUMMARY: Claimant alleged that on February