N.A.S.D. AWARD NAilONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lawrence Olson, individually and as trustee of his IRA and living trust and Bonita Olson individually and as trustee of her IRA and living trust 93-02930 Names of Respondents Vanderbilt Capital Corporation WFG Securities Corporation John P. Lockrey Wilnard L. Selbak Arthur A. Laatsch, Jr. RKPR^ENTATION * For Claimants Lawren

NASD AWARD Claimants Baron Abboud Respondents ) ) Case Number 93-02924 Charles Schwab & Co., Inc. ) REPRESENTATION For Claimant. Baron Abboud ("Abboud"): Anthony Horn, Esq. of the Law Office of Anthony Horn, Esq. Philadelphia, PA. For Respondent, Charles Schwab & Co., Inc. ("Schwab"): Scott Hunt of Charles Schwab & Co., Inc., San Francisco, CA. CASE INFORMATION Statement of Claim filed: July 27, 1993. Claimant's Submission Agreement sign

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between G. T. Wannamaker, M.D. Claimant, vs. Case # 93-02922 Prudential Securities, Inc. and Clarence Pate, Respondents. REPRESENTATION For Claimant G. T. Wannamaker, M.D. ("Claimant") appeared John L. McDonald, Jr., Esq. from the law firm of Clawson & Staubes, Charleston, SC. For Respondents Prudential Securities, Inc. ("Prudential") and Clarence Pate

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Joe A. Dahm and 93-02921 Name of Respondents Hanover Sterling and Company, Ltd. Ian Roberts, Steven Ropas, Mark Savoca and David Sayid REPRESENTATION OF PARTIES Joe A. Dahm ("Claimant") appeared pro se. Hanover Sterling and Company, Ltd. ("Hanover") was represented by Darren Lampert, Esq., Lampert & Lampert, New York,

N.A.S.D. AWARD Arbitration 'Suteliro,S^ NATIONAL ASSOCIATION OF SECURITIES DEALERS NcalBlxto Asri^ Director of ArtHH*)n~;—rr— : p~T—r~r-—-; ^~ In the Matter of the Arbitration Between PameUM.BttfdJck,bq. Senior Suff Attoreey l^ame of Claimants Leonard J. Levick, Beneficiary of the Leonard J. Levick IRA and Leonard J. Levick and Myra F. Levick Individually, and as Joint Tenants, with Right of Survivorship Case No. 93-02916 Nam

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ctaimant Dr. Carl Pagano, TTEE/PSRP NASD Case No. vs. 93-03101 Name of Respondents Melbourne GSI Corp. Joel Heusler REPRESENTATION For Claimant, Dr. Carl Pagano, TTEE ("Claimant"), George Marlin, non- attorney representative. For Respondent, Melbourne GSI Corp. ("Melbourne"), George Glair from Melbourne GSI Corp. located in

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Lawrence R. Endres 93-03093 Name of Respondent^ Scottsdale Securities, Inc. For Claimant Lawrence R. Endres: J. Pat Sadler, Esq. of the law firm of Sadler & Associates of Roswell, GA. For Respondent Scottsdale Securities, Inc.: John G. Garavaglia, Esq. of the law firm of Raskas, Ruthmeyer, Pomerantz, Wynne, Garavaglia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hildegard Rother 93-03092 Name of Respondents Benjamin & Jeroid Brokerage CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 6, 1993, Claimant Hildegard Rother, who appeared Pro Se, alleged that she traded options with Respondent Benjamin & Jeroid Brokerage based on the advice

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between William Chanoff 93-03091 Name of Respondents Butcher & Singer, Inc. (n/k/a Wheat First Securities, Inc.) Stuart M. Hammerle RJ^EjgENTATION I For Claimant William Chanoff ("Claimant"): Herbert M. Unsenberg and Anthony J. Boris, Attorneys at Law, Philadelphia, PA. For Respondents Butcher & Singer, Inc. ("Butcher") and Stuart M. Hammerle ("Ham

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimant Case Niimhftr 01-02632 Stanley Potruzski of the Respondents Hearing Site- Baltimore, MD Deutsche Bank Alex. Brown, Inc. David P. Brown Steven J. Sarigianis REPRESENTATION OF PARTIES Claimant, Stanley Potruzski, hereinafter referred to as "Claimant", was represented by Nicholas J. Guiliano, Esq., Philadelphia, Pennsylvania, Respondents,