N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James J. Burke Case# vs. 93-04410 Name of Respondents Fahnestock & Co., Inc. Harold Fain REPRESENTATION James J. Burke ("Claimant") represented himself at the hearing. For Respondents, Fahnestock & Co., Inc. ("Fahnestock") and Harold Fain ("Fain") (collectively "Respondents"), Charles E. Padgett, Esq., Senior Vice P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anne F. Rose, Claimant v. UBS Financial Services Inc., CIBC World Markets Corp. (also known as CIBC Oppenheimer), San Clemente Securities, Inc., Interfirst Capital Corporation, Richard D. White, Bradford A. Phillips, Otto C. Johnson, Brian F. Porter, Thomas H. Sunderland, Cooke B. Christopher, United Custodial Corporation, US Trust of California, Financial Management Resources, Lisa McD

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Steven E. Sinai Name of Respondent (s) John Nakoski Quest Capital Strategies, Inc. NASD Arbitration No. 93-04408 For Claimant: Anthony J, Horn, Esq., Philadelphia, Pennsylvania For Respondent Quest Capital Strategies, Inc.: Gregory J. Sherwin, Esq., Fields, Fehn & Sherwin, Los Angeles, California CASE INFORMAT

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Barbara M. Carey 93-04399 Name of Respondents) Corporate Securities Group, Inc. Forrest Jay Radin Neil Silver REPRESENTATION For Claimant Barbara M. Carey ("Carey"): Jeffrey Tew, Esq. of Kirkpatrick & Lockhart, Miami, Florida. For Respondents Corporate Securities Group, Inc., ("CSG") and Neil Silver ("Silver"): J

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert W. Mohs and 93-04630 consolidated with 93-05125 Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Robert W. Mohs ("Claimant") was represented by Andrew J. Munro, Esq., Munro & Munro, Troy, Michigan. Prudential Securities, Inc. ("Respondent") was represented by Ronald P. Kane, Esq. Siegan

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert W. Mohs and 93-04630 consolidated with 93-OS12S Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Robert W. Mohs ("Claimant") was represented by Andrew J. Munro, Esq., Munro & Munro, Troy, Michigan. Prudential Securities, Inc. ("Respondent") was represented by Ronald P. Kane, Esq. Stegan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan S. Erb 93-04199 Name of Respondents Legg Mason Wood Walker, Inc. Oscar J. Leon REPRESENTATION For Claimant Susan S. Erb ("Claimant"): Arthur M. Schwartzstein, Attorney at Law, Washington, D.C. For Respondent Legg Mason Wood Walker, Inc. ("LMWW"): Andrew Jay Graham, Esq. of the law firm of Kramon & Graham, Baltimor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Shirley Sellers Carpenter Diane Carson 93-04188 Name of Respondents Shearson Lehman Brothers, Inc. Legg Mason Wood Walker The Pinnacle Group, Inc. George Brooks REPRESENTATION Claimants Shirley Sellers Carpenter ("Carpenter") and Diane Carson ("Carson") were represented by Philip J. Smith, Esq. and Stephen J. Grabe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kathy Hausman Smith 93-04184 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION Claimant Kathy Hausman Smith ("Claimant") was represented by Adam Cohen and David Rosenberg, Attorneys at Law, of Feltman, Karesh, Major & Farbman located in New York City, New York. Respondent Merrill Lynch Pierce Fenne

N.A.S.D. AWARD NATIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Joyce Wells Individually and Joyce Hells Trustee FBO Revocable Trust U/A/D 3/18/91 NASD Arbitration No. 93-04179 Name of Respondent fs) Sutro & Co. Incorporated Shearson Lehman Brothers, Inc. John William McCall, Jr. REPRESENTATION For Claimant: Anthony M. Englese, Esq., San Francisco, California For Re