N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Thomas and Concetta Marasa 93-02532 Name of Respondents Prudential Securities Inc Lawrence Durso REPRESENTATION For Claimants Thomas and Concetta Marasa ("Claimants") appeared Jill Marasa. For Respondents Prudential Securities, Inc. ("Prudential") and Lawrence Durso ("Durso") appeared Dominick Evangelista, Esq. of the law

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Gloria Kates Case# vs. 93-02531 Name of Respondent Robert Kearse REPRESENTATION Claimant, Gloria Kates ("Claimant") who resides in Staten Island, New York, represented herself at the hearing. Respondent, Robert Kearse ("Respondent") who resides" in New Jersey, represented himself at the hearing. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Cheryl Moher, Claimant. v. No. 93-02527 James Stuart Burg, Allan Jay Feldman, Hyman Klieback, Calvert Securities Corp., Financial Planners Equity Corp., Total Services Investments, Inc./ Contemporary Financial Planning, Inc. Respondents. REPRESENTATION OF PARTIES Claimant Cheryl Moher ("Claimant") was represented by Raymond S. Heyman, Esq. and Timothy Bolden, Esq. of O

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Toluca Pacific Securities Corporation NASD Arbitration v. No. 93-02524 Name of Respondent Jeffrey Dabbs REPRESFNTATION For Claimant: Peter Blowitz, Toluca Pacific Securities Corporation, Burbank, California For Respondent: Jeffrey Dabbs, Calabasas, California CASE INFORMATION Statement of Claim filed: June

PI 1 N.A.S.D. AWARD U NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Vernon Hickinson 93-02512 Name of Respondents') Prudential Securities Inc HF.PRF.SENTATION For Claimant Vernon Hickinson: Daniel A. Lowenthal, HI, Esq. of the law firm of Winthrop, Stimson, Putnam and Roberts, New York City, NY. For Respondent Prudential Securities, Inc.: James M. Bergen, Esq. of the law firm o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frank G. Regas 93-02503 Name of Respondents PaineWebber, Inc. Lillian Katzin REPRESENTATION For Claimant, Frank G. Regas ("Regas"): Jeffrey Sonn, Esq. of the Law Offices of Jeffrey Sonn and Adam D. Palmer, Esq. of Elk, Bankier & Palmer of Boca Raton, Florida. For Respondent, PaineWebber, Inc. ("PaineWebber 11 ): Tho

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joanne Irene Kegel and 01-02622 Minneapolis, Minnesota Name of Respondents Walnut Street Securities, Inc. Eugene R. Adams, Jr. The Equitable Life Assurance Society of the United States REPRESENTATION OF PARTIES Joanne Irene Kegel ("Claimant") was represented by Daniel D. Hill, Esq., Hill Law Office, Minneapolis, Minnesota. Walnut Street

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Harris V. Evans, Jr. 93-02464 Name of Resoondentfs) TAW Securities, Inc. Thaddeus A. Wier, Jr. Timothy T. Kraska REPRESENTATION For Claimant: E. Michael Semple, Anthony P. Diamond, of Counsel, Hamburg, NY. For Respondents TAW Securities, Inc. and Thaddeus A. Wier, Jr.: Edwin A. Zipf, Esq. of the law firm of Bress

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant (s) Marylu Kauder Ed Kauder NASD Arbitration No. 93-02439 Name of Respondent (s) Alex. Brown & Sons, Incorporated REPRESENTATION For Claimants: David C. Hinshaw, Esq., Gansinger, Hinshaw & Buckley, Los Angeles, California For Respondent: Daniel J. Donovan, Esq., Alex. Brown & Sons Incorporated, Baltimore, Mary

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Stanley T. Johnson 93-02433 Name of Respondent(s) Kemper Securities, Inc. as successor to Prescott, Ball & Turben Inc. REPRESENTATION For Claimant Stanely T. Johnson: Gerald M. Coakley, P.C., Newton, MA. For Respondent Kemper Securities Group, Inc. as Successor to Prescott Ball and Turben, Inc.: John B. Lewis, Esq. and S