NASD N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the .Matter of the Arbitration Between. Name of Claimant Donald A. Danielson 90-03592 Name of Respondent Smith Barney Harris Upham & Co., inc. National Association of Securities Dealers. Inc. NASD Financial Center 33 Whiten all Street New YorK. New York 10004 For Claimant, Donald A. Danielson ("Claimant"): Daniel J. Brooks, a sole practitioner.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ) Glenda Rose, on behalf of the Glenda Rose Trust Name of Respondent (s) ) ) Shearson Lehman Brothers, Inc. ) J Case No. 90-03590 For Claimant, Glenda Rose Trust ("Rose"): Patricia A. Snub, Esq. of Snub & Barclay, P. A. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson"): Lonnie Browne Zangrillo, Esq. of Boose Ca

NATIONAL ASSOCIATION OF SECURITIES DEALERES, INC. In the Hatter of the Arbitration Between Anthony J. Amato Claimant Award vs. P.N. Wolf & Co., Inc. Resoondent Case #90-03584 CASE Pro Se Claimant Anthony J. Amato, in a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1990, alleged that Respondent, F.N. Wolf and Co., Inc., materially misrepresented the financial condition of Computer Components

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between W. Paul & Betty J. Armstrong Claimant CASE #90-03579 vs. PaineWebber, Inc. Respondent CASE SUMMARY Pro Se Claimants, W. Paul and Betty J. Armstrong, in a claim filed with the National Association of Securities Dealers, Inc. on December 20, 1990, alleged that their broker at PaineWebber, Inc. failed to provide pertinent information concerning RjR-Nab

NATICNAL ASSOdATICN OP N.A.S.D. AWARD DEM£RS In the Matter of the Arbitration Between. PaineWefcber, me. Mame of 90-03575 Baron Holdings Ccmpany Arbitration National Association of Securities Dealers, Inc. NASD Rnancial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2 7 2) 858-4389 For Claimant: Edward Werner, Esq., in house counsel at PaineWebber, IDC. ("PaineWebber"). '' . For Respondent: Mr. Mark Sendo was th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the Matter of the Arbitration Between Name of_ Betty Jacobson 90-03574 Name of Respondent (s ]_ Interstate/Johnson Lane Corporation For Claimant: Catherine N. Clutter, Esq. of Painter, Ratterrae, Connolly & Bart in Savannah, Georgia. For Respondent: Barry P. Harris, IV, Esq. of Interstate/Johnson Lane in Charlotte, North Carolina. Statement of Claim filed: December 20, 1990.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sheldon H. Werner AWARD Case # 90-03571 Name of Respondents Kopstein, Van Alen & Co., Inc. Martin Kopstein Mabon Nugent & Co. Heard before: Deborah Sherman, Esq. Public Arbitrator Bernard T. Pryor Public Arbitrator Ronald B. Curry Securities Arbitrator REPRESENTATION Claimant was represented by: John P. Fost

N.A.S.D. AWARD TSKTKKKL ASSOdflTICN OP ^Mllki-mos DEALERS In the Matter of the Arbitration Between Halt & Collins vs. NASD #90-03563 of Bflgf^n < < Lynn Susoef £ Fbr f^a^^n^fr/fv»m^^»T•^••»^aporv^a•^fc. David M. Greeobcrg, Esq., San Francisco, California. FOOT Rpflnnp < V >n *' Jlt /^Vv i t^T y *^ y^'»>"»T»^ * Jstoo Vlda., r^ 1 *" Fmidsoo, Statement of Ha-hii filed: December IS, 1990 Claiman

PUBLIC NXTIONRL ASSOCIATION OF N.A.S.D. AWftKD DEALERS In the Matter of the Arbitration Between Name of Claimant Larwill investaaQt N.V. 90-03553 Name of Pggggrejgnts Shearson Lehman Brothers, Inc. James Qunther Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Michael For Claimant: Peter R. Silvernan, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOdRTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Wendy vs. 90-03551 Name of Respondent (s) Leonard Gall Canelot invesoneut Corporation RPR Clearing Services Rminrher Pierce Refsnes,Inc. For daisants: Lloyd S. Wolf, Esq., Santa Monica, California ."For p»ffp-ff^^t/ f * rrua ?- 1?o ?r r " rfain ^' Camalot Swenson, Esq. , Los An