N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Brian J. Clark 93-02612 Name of Respondents The Prudential Insurance Co. of America George Brown RKPRF-SENTATION For Claimant Brian J. Clark ("Claimant") appeared Benjamin D. Liebowitz, Esq., Edison, New Jersey. For Respondents Prudential Securities, Inc. ("Prudential") and George Brown ("Brown") appeared Charles A. Reid, H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Charles Lipton Bert Forman Judith Mark 93-02600 Names of Respondents Shearson Lehman Brothers, Inc. Charles H. Goubeaud Kenneth Donn Donald N. Rich REPRESENTATION For Claimants Charles Lipton ("Lipton"), Judith Mark ("Mark") and Bert Forman ("Forman") appeared Steven M. Kramer, Esq., of the law firm of Steven

CASE NO. 93-02592 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name, of Claimant Khalid Malik Name of Respondent H. J. Meyers & Co. Inc. REPRESENTATION For Claimant, Khalid Malik ("Malik"), Harvey J. Eger, Esq. located in Pittsburgh, PA For Respondent, H.J. Meyers & Company ("Respondent"), Robert A. Uhl, Esq., located in Los Angeles, CA. CASE INFORMATION Statement of Claim was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Bruce Bart Allen 93-02587 Names of Respondents Southwest Securities, Inc., Texas Securities, Inc., Sara Sharpe, and Malcolm Stockdale REPRESENTATION Claimant, Bruce Bart Allen appeared pro se. Respondent, Southwest Securities, Inc. was represented by Steven R. Pitzner, Esq. of Sweet & Brousseau, Dallas, Texas. R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimaiU(s) Dolores G. Leist 93-02585 Name of Respondents) Daniel J. Foley John W. Irvine REPRESENTATION Claimant, Delores Leist ("Leist") appeared pro se. Respondent, Daniel Foley ("Foley") appeared pro se. Respondent, John Irvine ("Irvine") appeared pro se. CASE INFORMATION Statement of Claim filed: July 1, 1993 Claima

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Janette M. Corby, Claimant v. Merrill Lynch, Pierce, Fenner & Smith, Inc., Donald C. Korkow, and Richard M. Kenton, Respondents Case Number: #01-02624 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Jeffrey A. Feldman, Esq. Law Offices of Jeffrey A. Feldman San Francisco, California For Respondents: W. Reece Bader, Esq. Susan L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or' the Arbitration Between Name or' Claimant) s) James F. Ash 93-02580 Name of Resoondent(s) James Shine F.S.G. Financial Services Group, Inc. REPRESENTATION For Claimant: Kenneth Rosenthal, Esq. of Brenner, Saltzman, Wallman & Goldman of New Haven, Connecticut. For Respondent F.S.G. Financial Services Group, Inc. ("F.S.G."): Bert Vladimir, Esq. of N. Babylon. N

NASD Arbitration No. 93-02568 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant's) Stan Millan Name of Respondent (s) Richardson Greenshields of Canada Limited Rod Docker RgPRESENTATION For Claimant: Stephen F. Boutin, Esq., Boutin - Gibson, Sacramento, California and Samuel Komhauser, Esq., San Francisco, California For Respondents: Harry A. Olivar, Jr., Esq

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant R.C. Layne Construction, Inc. NASD Arbitration No. 93-02567 vs. Name of Respondents Jordan Shamah, Robert A. Freedman, Jordan R. Belfort, Kenneth S. Greene, Daniel M. Porush and Stratton Oakmont, Inc. REPRESENTATION For Claimant R.C. Layne Construction, Inc.: Brian Lowe and Adam Schneir, Esq. of Investors Arbitrat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gilder P. Yarn, Jr. & Marge Yarn 93-02533 Name of Respondents Chesapeake Securities Research Corp.; Dennis Roy Roth; Bear, Stearns Securities Corp. REPRESENTATION For Claimants: Gilder P. Yarn, Jr. and Marge Yarn ("Yarn") were represented by Gilder P. Yarn and Bill Cunningham, St. Louis, Missouri. For Respondents: Ches