N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between A.G. Edwards & Sons, Inc. and 90-03357 Bradford J. Long PMHTES A. G. Edwards & Sons, Inc. was represented by Michael D. Gates, Esq. of A. G. Edwards & Sons, Inc, St. Louis, MD. Bradford J. Long did not appear. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about November 27, 1990, A. 6.

N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David L. Sauer and Claimant 90-03355 Raymond James & Associates, Inc. Robert Collins Respondents JL OCT2JW AftSmujtON-OilCAfGO OP PXRFIES KKKtraH Claimant David L. Sauer was pro se. Respondents Raymond James & Associates, Inc. and Robert Collins were represented by Kevin A. Carreno of Raymond James & Associates, St. Petersburg, F

N.A.S.D. AWARD NATICNAL ASSOCIATION OF bajukims DEALERS In the Matter of the Arbitration Between Name of Claimant (a) John Hictanan as Trustee for **^ John Hldonan Revocable Living Trust Douglas T. Hidoaan Marguerite C. Kidman Jans Marsh Harry H. Mane of Respcndaat (a) PainaMebber, inc. Case Mo. 90-03354 For dainants, John Hidonan as Trustee for the John "l"Hwi Revocable Living Trust ("John Kidman'), Douglas Hidonan, Marguerite C

N.A.S.XT. AMRRD NATICNRL ASSOCianCM OF SECURITIES DEALERS In the Matter of the Arbitration Between. NsneofCladinant Michael E. labanowsJci 90-03333 Kidder, Peabcdy & Co., Incorporated and Roger B. Webb Poor Claimant: Daniel A. Ball, Esq. For Respondent Kidder. Peabody & Co., Inc.: George C. CShell of Counsel, Kidder, Peabody & Oo. , Inc. For Respondent Roger B. Webb: Mr. Webb was not represented by counsel and did not attend the bearing.

Arbitration * N.A.S.D. AWARD NATIONAL ASSOCIAIICN OF SE9CDRITZES DEAU3RS In the Matter of the Arbitration, Between Frank R. Mead III 90-03328 Kidder, Feabody & Co., Incorporated Stuart Carter National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant Frank R. Head, HZ ("Claimant"): Mark V. Evans, of Hood law Firm. For Respondents Kidder P

N.A.S.D. AWARD NATIONAL ASSCdftTXCN OP s> iMIIJI ' l ' rRg E3VLERS In cbe Matter of the Arbitration Between Herbert Bode v. 90-03609 Cberhofer & Go. Mai* Cberoof er Micbael Baldwin Donaldson yjif^n & Jenrette Securities Carp. Pbr dadinanti David F. Itorgan, Esq. - Barton, nugnan & Getting, 333 South Grand Ave. , 37th Floor, Los Angeles, C3L 90071 Par RaapondaDts: & Jenrette Securities - Susan L. aoffnan, Esq.,

N.A.S.D. AWARD NATICKAL ASSOCIATION OF SECURITIES DEALERS- In the Matter of the Arbitration Between ) ) Kane of Claimant (s) } > Marie P. Batchelder ) ) } ) Name of Respondent (a) ) ====1===a— ====== ^ Richard Scott Asset Management, IDC. ) Eugene Herscher } Barry Rorex } Leslie Anne Moore ) Case No. 90-03608 For dainant, Marie P. Batcbelder ("Batcbelder*): Adam S. Doner, Esq. of McGee, Jordan, Shuey, Gordon.

N.A.S.D. AWRRD NATIONAL ASSOdKTICN OF gMCTJKl'i'l ^ DEALERS In the Matter of the Arbitration Between Q£ Joseph R. Dlcosola 90-03606 Mama of Respondents David A. Nbyes & Qcnpany Joseph Baba Hie Claimant, Joseph R. Dlcosola, was represented by Mark s. Boyle, Esq. of Goldstein & Boyle, Ltd. of Chicago, IL. Bie Respondent, David A. Noyes & Co., was represented by James J. Moylan, Esq. of Maylan & Associates of Chicago, IL. Tbe Respondent

N.A.S.D. AWARD Arbitration ASSO? NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association o( Securities Orators. Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdafe. Florida 33301 (305) 522-7391 Renee Goldf in Case No. 90-03594 Shearson Lehman Button, Inc. Barry Menin Heard before the Arbitrator: Steven D. Elias, Esq. Public EON Claimant, Renee Goldf in ("G

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Peter and Elissa Cassella (Claimants) vs. Charles Schwab & Co., Inc. (Respondent) Case Number: 99-02217 Hearing Site: Seattle, Washington. REPRESENTATION OF PARTIES Peter and Elissa Cassella hereinafter referred to as "Claimant": Peter Cassella represented himself. Charles Schwab & Co., Inc. hereinafter referred to as "Respondent": Amir Tadjedin, Esq., Charles Schwab & Co., Inc.,