N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ronald Tigner 94-01450 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION Claimant Ronald Tigner ("Claimant") Top^arecl pro ss Respondent Smith Barney Shearson, Inc. ("Respondent") was represented by Scott Almas, Legal Assistant, Smith Barney Shearson, Inc., New York, NY CASE INFORMATION Claimant's Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Duke & Company, Inc. 94-01440 Namg of J^ Lawrence Rosenberg REPRESENTATION For claimant Duke & Company ("claimant") appeared Charles J. Hecht, Esq., of the offices of Hecht & Goidston located in New York, New York. Respondent Lawrence Rosenberg ("respondent") did not enter an appearance in this matter. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dickinson & Co. 94-01433 Name of Respondents Brett W. Cooper CASE SUMMARY la a claim filed with the National Association of Securities Dealers, lac. on April 14, 1994, Claimant Dickinson & Co., through its counsel Terri L. Combs, Esq., of Baer Marks & Upham, New York, New York, alleged that Respondent Brett W. Cooper began

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between * Name of Claimant V. Lawrence Piton and 94-01407 Name of Respondent Dean Witter Reynolds, Inc. REPRESENTATION OF PARTIES V. Lawrence Piton ("Claimant") was represented by Leslie Blau, Esq., Blau & Kokoszka, Chicago, Illinois. Dean Witter Reynolds, Inc. ("Respondent Dean Witter") was represented by Micadic Bryan Oroschakoff, Esq., Dea

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Manuel T. Miguel 94-01405 Name of Respondents J.W. Bullard Co.. Inc. Steve Ropas Lillian Vinci CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 13, 1994. Claimant Manual T. Miguel, who appeared pro se, alleged that Respondents J.W. Bullard & Co.. Inc. ("IW"). Steve Ropas (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Daisy Wilson & The Estate of Emma Grant 94-01401 Name of Respondents') Marc Jay Berman Aragon Financial Services, Inc. REPRESENTATION For Claimants Daisy Wilson ("Wilson") and the Estate of Emma Grant ("Grant"): Russell C. Silvergiate, Esq. of Dickenson, Murdoch, Rex and Sloan of Boca Raton, Florida. For Respondent Marc

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(si Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Elden Farm Ivan and Lellah Harris Dean Marler and Bernice Marler John and Gwendolyn Wilson Edward Kobe and Norma Kobe Richard and Janice Moon Charles and Beatrice Baldridge Bill and Mary Hart Sharon Kent Wes L. Clark Bernadeen Dowd and Barbara Mahoney Denzil and Traci Rogers Paul and Susan Paduano

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Robert Ohlman, Todd Ohlman, and Scott Ohlman and 01-03030 Troy, Michigan Tucker Anthony, Inc., and Karl P. Kilroy REPRESENTATION OF PARTIES Robert Ohlman, Todd R. Ohlman and Scott Ohlman, hereinafter, collectively referred to as "Claimants" were represented by Steven B. Caruso, Esq., Maddox, Koeller, Hargett & Caruso, New York, New York. Tucker Anthony Incorporate