N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold I. Rosen 94-00792 Name of Respondents F.N. Wolf & Co., Inc. James Scullen REPRESENTATION Claimant Harold I. Rosen ("Rosen") appeared at the hearing pro se. Claimant Rosen is an attorney with the firm of Seltzer and Rosen, P.C., of Washington, D.C. Respondent F. N. Wolf & Co., Inc. ("F. N. Wolf) did not appear at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Hatter of the Arbitration Between Name of Claimant David A. Schroeder 94-00791 Craig Hallutn, Inc. Jerry Wrestling REPRESENTATION The Claimant, David A. Schroeder, ("Schroeder"), was represented by Rebecca Bender of Rebecca Bender and Associates located in Minneapolis, Minnesota. The Respondents, Craig-Hallum, Inc. {"Craig-Hallum") and Jerry Westling ("Westling") were repre

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between t, Name of Claimant Thomas James Associates, Inc. & Mark E. Motazedi and 94-00790 Name of Respondent Jacob and Marina Mazin REPRESENTATION OF PARTIES Thomas James Associates, Inc. & Mark E. Motazedi ("Claimants") were represented by D. Elizabeth Wills, Esq., Brenman Key & Bromberg, P.C., Denver, CO. Jacob and Marina Mazin ("Respondents")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the jnatter of the Arbitration Between of Claimant g) Emil Durelle NASD Arbitration No. 94-00787 Name of Respondent(s) Yaeger Securities, Inc. Union Equity Partners, Inc. REPRESENTATION For Claimant: Emil Durelle, Henderson, Nevada For Respondent Yaeger Securities, Inc. : David N. Mahler, Yaeger Securities, Inc., Woodland Hills, California For Respondent Union Equ

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Tony DeMarco Nancy DeMarco Claimants NASD Arbitration No. 94-00786 v. Shearson Lehman Brothers Mark Buckman Respondents REPRESENTATION For Claimant: James A. Testa, Esq., Testa & Grady, Vista, California For Respondents: Ellen Slipp, Esq., Smith Barney Inc., New York, New York CASE INFORMATION Statement of Claim filed: March 1,1994 C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jean M. Parker vs. 94-00785 Names of Respondents John Hancock Distributors and Joseph C. Dault REPRESENTATION For Claimant: Jean M. Parker ("Parker") of Pentwater, Michigan, appeared at the hearing pro se. For Respondents: John Hancock Distributors, Inc. ("John Hancock") was represented at the hearing by Meigs M.

N.A.S.D. AWARD 1' YTIONAL ASSOCIATION OF SECURITIES DEALERS In tt a Matter of the Arbitration Between Name of Claimant/Counter-Respondent Charles Leon Deaton 94-00784 Name of Respondents/Counter-Claimants D.R. Hancock & Company, Inc.; Elise C. Tanner For Claimant/Counter-Respondent: Charles Leon Deaton ("Deaton") was represented by Scott P. Hendricks, Esq. and Cynthia A. Hagan, Esq. of Hendricks & Hagan, located in Carbondale, Illino

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant _ Jill Boekell 94-00781 Name of Respondents First Albany Corporation Maria J. Saulino Arthur T. Bernsohn REPRESENTATION For Claimant Jill Boekell ("Claimant") appeared Richard West. For Respondents First Albany Corporation ("FAC"), Maria J. Saulino ("Saulino") and Arthur T. Bernsohn ("Bernsohn"), (collectively referred

NASD Arbitration No. 94-00780 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between * Name of Claimant Carlynn H. Williams Name of Respondents Linsco/Private Ledger Corp. Eric A. Rudney Rudney Associates REPRESENTATION For Claimants: Morton Levy - Investors Advocates - Emeryville, California For Respondents: David J. Freniere, Esq. • LPL Financial Services - Boston, Massachusetts

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Morgenstern, Claimant v. American Express Financial Advisors, Inc. and Marietta L. Johns, Respondents Case Number: 01-02953 Hearing Site: San Francisco, California Nature of the Dispute: Associated Person vs. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Russell G. Porter, Esq. Porter, Scott, Weiberg & Delehant Sacramento, California For Respo