N.A.S.D. AWRHD NKTICNAL ASSOCIKnCN OP SECURITIES HE3VLERS In the Hatter of the Arbitration Between Q£ rna< iBant(B) , lac. 90-03392 For dainanti Marie Baton, Esq., Madbuah Morgan Securities, 1000 Wllahlre Boulevard, LOB Angeles, OL 90017 Foe Reepondenti No Stataaaat of Claim filed: NbvoEbar 30, 1990 CDS Octctoear 15, 1990 Stateoeat of AnaMw filed by KMpmdauta cat None filed oat None filed and although duly did not appear afc ^

N.A.S.D. AWARD NKTICHKL ASSOCIATICN OF SHAnti'l'lisS DEALERS In. tne Hatter of the Arbitration Between Robert & LaVergne Benza No. 90*03391 Name of Resprndenta TSxataa Kurfc Long Grove Trading Company Kavanaugh Securities, Inc. FOOT Claimant: Robert Benza Jr. Ftar Respondent Ttooaa Kurt: Thorns RirJe appeared pro se. For Respondent Long Grove Trading Qajpany: Hanas A. Hapldnfl. For Hespoodent ICavanaugh Securities, Inc.: Qtriatcpaer J. B

N.A.S.D. PiKARD MATICNRL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Frank C. Simonetti & Brian SL-nonetti 90-03388 G.K. Scott & Company, Inc. Robert J. Romanelli "or Claimants: Appeared pro se. For Respondent G.K. Scott & Co.: Harold I. Gerinoer, Esq., or" Geringer 4 Dolan. For Respondent Robert J. Ronanelli: Appeared pro se. CTSB Statement of Claim filed: November 29, 1990. Claimant's Submission Agree

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the "Arbitration Between Name of Claimants William B. Bayliss Sally A. Bayliss No. 90-03379 Smith Barney, Harris Upham & Co. Allan E. Schroeder REPRESENTATION OF PARTIES For Claimants: David H. Hutchinson, Esq. of Machulak, Hutchinson, Robertson & Dwyer, S.C. For Respondents: Larry H. Irom, Esq., Vice President, Law Department, Smith Barney, Harris Upham & Co.

N.A.S.D. AMRRD NKETCNRL ASflQCIflTICK OF SECORTriES DEALERS In Che Matter of the Arbitration Between Name of Claimant (B) William Steel Betty Jo Steel vs. 90-03377 Bateaux Bichler, Bill Richards, Inc. Louis B. Bvnes, II For Claimants: Dennis M. Qrady, Esq., San Diego, Cali-cmia. For Respondents: Craig B. Joxgensen, Esq., Kindel & Anderson, Los Angeles, California. Statanent of n«"hn filed: No 29, 1590 Joint Stw nl

Arfcttntttn ASSOCIKTIQN OF SECURITIES DEftLEBS " 33 Whitentrt StrMt in tne Matter or the Aroitration Between N«w rone. N«W York ' Shearson Lehian Hutton, Inc. 90-03375 of p * William Garner For Claimant: Victor A. Machcinski Jr., Esq. of shearson Lehman Brothata, Inc. For Respondent: Kevin R. MsDernctx, Esq. of Schottenstein, 2ox & IMnn Statement of Clfiim filed: November 27, 1990. Claimant's Submission Agreement signed on: Novem

N.A.S.D. .AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between -1; Sophia Zubareva 90-03368 Name of Respondents; Shearson Lehman Mutton, Inc. David D. Hapworth For Claimant: David L. Kagel, Esq. of Kagel & Steiner. For Respondent Shearson Lehman Mutton: David M. Bartholomew, Esq. of Keesal, Young & Logan. Respondent David D. Hepworth did not have an attorney of record. Claimant filed a Statement o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimant George J. Schmitt No. 90-03366 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OP PARTIES For Claimant: David B. Love, Esq. of Winston & Strawn, Chicago, Illinois. For Respondent: Curt H. Mueller, Esq., Vice President & Senior Attorney, Dean Witter Reynolds, Inc. CASE INFORMATION Statement of Claim file

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernard E. Lloyd, (Claimant) vs. Golden, Lender Financial Group, Inc., Foster Gibbons and Michael Park, (Respondents) Case Number: 99-02219 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Bernard E, Lloyd, hereinafter referred to as "Claimant": James Dolan, Esq., a sole practitioner, Garden City, NY. Respondents, Golden, Lender Financial Group, Inc. ("

Arbitration H.A..S.D..-AWARD ASSOdftTICN OF SECURITIES In CUB Matter of the Aitoitratian Betwe^ Kane of PaineWebber, Inc. 90-03358 Irene Wetbel National Auoc*oon SacunttM Oaann. » 'JASD Financai C«n»e ".2 Whrtenwi Street 'i7,2^ 858^389* For Claimant: Edward G. Werner, Esq., in-house Counsel for PaineWebber, Inc. For Respondent: Pro se. case nsraKnaj Statement of Claim filed: N&ventoer 27 1990. Claimant's Sutmissiaa Ag