N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Robert A. Lamminen 93-03539 Name of Respondents Dain Bosworth Inc. and Robert Bayless OF PARTIES Claimant, Robert Lamminen ("Lamminen") was represented at the hearing by Rebecca E. Bender, Esq. of Rebecca E. Bender & Associates, P. A., Minneapolis, Minnesota. Respondents, Dain Bosworth, Inc. ("Dain") and Robert Bayless ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant LeBaron Robinson, Jr. 93-03543 Name of Respondent Prudential Securities, Inc. REPRESENTATION Claimant LeBaron Robinson, Jr. ("Robinson") was represented at the hearing by Anthony D. Reagoso, Esq. of Reagoso & Baer of Media, Pennsylvania. Respondent Prudential Securities, Inc. ("Prudential Securities") was represented at the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert F. Gollnick, Jr. 93-03544 Name of Respondents J.C. Bradford & Co. Jonathan D. Schlackman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10,1993, Claimant Robert F. Gollnick, Jr., who appeared Pro Se, alleged that Respondent Jonathan D. Schlackman of the Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF _SECURJTTES DffALERg. INC. In the matter of the Arbitration Between Mame of Claimant is) Benjamin Lincoln Elsie Lincoln NASD Arbitration No. 93-03523 Name of R&gppndent ( s ) Quick i Reilly, Inc. Robert William Bayliff RgPRHSgNTATION For Claimants: Benjamin Lincoln, Santa Barbara, California For Respondents: Nicholas J. Chopey, Quick & Reilly, Inc., New York, New York CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wedbush Morgan Securities, Inc., Claimant v. Barry Hochstein, Respondent Case Number: 01-02695 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Gary L. Holmes, Esq. Wedbush Morgan Securities, Inc. Los Angeles, California For Respondent: Barry Hochstein San Francisco, California CASE INFORMATION Statement of Claim filed on or about: May

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Peter Nawrocki Eugene and Joan Nawrocki Gregory S. Jezard Paul J. Hobaica Case # vs. 93-03517 Name of Respondents Bailey, Martin & Appel Inc Financial Equities Resources, Inc. Mark F. Perron Howard Miller Appel REPRESENTATION For Claimants, Peter Nawrocki, Eugene and Joan Nawrocki, Gregory S. Jezard, and Pa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph F. Torti 93-03512 Name of Respondents Olde Discount Corporation Robert Fairbrothers CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1993, Claimant Joseph F. Torti, who appeared Pro Se, alleged that on May 29, 1991 he turned over his portfolio to Respondent Rober

N.A.S.D. AWARD NATIQNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Georgiana Willis NASD Arbitration No 93-03510 Name pf Respondent Legg Mason Wood Walker, Inc. REPRESENTATION For Claimants: In Pro Se For Respondents: Barbara L. Weaver - Vice President - Legg Mason Wood Walker, Inc. CASE INFORMATION Statement of Claim filed: September 9, 1993 Claimants' Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert J. Muir 93-03507 Name of Respondents Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. Alan Rowell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 9, 1993, Claimant Robert Muir, who appeared Pro Se, alleged that Respondent Smith Barney Shearson,

NASD Arbitration No. 93-03506 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant fs) Linda Diann Bickford Hayes Name of Respondent(a) PaineWebber Incorporated Ken Horwitz REPRESENTATION For Claimant: Linda Diann Bickford Hayes, Valdez, Alaska For Respondents: Catherine J. Pratt, Esq., PaineWebber Incorporated, Los Angeles, California CASE INFORMATION State