N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants H. Graham Zoff, D.D.S., Personally and As Trustee of Dr. H. Graham Zoff Defined Benefit Pension Plan and Robert O. Broslow and Arlene S. Broslow, Personally and Trustees of the Broslow Family Trust 93-02143 Name of Respondents Brokers Investment Corpora- tion, Norman D. Shubert, Daniel H. Steinberg, Thomas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Philip M. Getter 93-02130 Name of Resoondentfs) Ladenburg Thalmann & Co., Inc. REPRESENTATION For Claimant: Louis F. Burke, Esq. of Townley & Updike, New York, NY. For Respondent: Norman S. Lawi, Esq. of Ladenburg Thalmann & Co., Inc, New York, NY. CASE INFORMATION Statement of Claim filed: May 25, 1993. Claimant's

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Raymond, James & Associates, Inc. Case No. 01-02609 Jeffrey T.Allen Hearing Site.: Indianapolis, Indiana OF PA ITTER Claimant Raymond James & Associates, Inc. ("Claimant") was represented by Stephen W. Sutherlin, Esq. and Thomas W. Blessing, Esq. of Stewart & Invin, P.C. located in Indianapolis, Indiana. Respondent Jeffrey Allen ("Respondent") was not present and wa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of Leo W. Peleske 93-02125 Name of Respondent Prudential Securities Inc. REPRESENTATION For Claimant Estate of Leo W. Peleske ("Claimant"): Wesley A. Gersh, Esq. of Gersh Law Offices, P.S.C., Louisville, Kentucky For Respondent Prudential Securities, Inc. ("Respondent"): Patrick Gaffney, Associate General Counsel, Pr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Dr. Michael A. Disbro, and Nicola M. Disbro, Claimants, v. ' No. 93-02119 R.G. Dickenson & Co, n/k/a Dickenson & Co., Respondent. REPRESENTATION OF PARTIES Claimants, Dr. Michael A. Disbro and Nicola M. Disbro ("Claimants") were represented by Bruce Pearson of Fargo, North Dakota. Respondent Dickenson & Co. ("Respondent") was represented by David C. Lundsgaard, Esq., of Dorsey

DEC-29-1994 11:54 FROM NflSD-RRBITRftTION-CNICfiGO TO 121285B4429 P.02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of tie Arbitration Between Name of Claimant PaineWebber Incorporated 93-02112 Name of Respondent Andrew R. Zodin For Claimant: PaineWebber Incorporated (TaineWebber*) was represented by Paul G. Thomas, Esq. of PaineWebber Incorporated, New York, New York. For Respondent: Andrew R. Zodin ("Zodin") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Daniel M. St. James and Janet St. James 93-02111 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimant: Daniel M. St. James and Janet M. St. James ("St. James") were represented by Walter L. Baumgardner, Esq. of Musilli, Baumgardner, Wagner & Parnell, P.C., located in St. Clair Shores, Michigan.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anna Breen, ind/ttee. 93-02100 Name of Respondents World Invest Corporation Financial Network Investment Corporation James Edwards Chester Kyle Henry Tegler, Jr. Glen Horecky REPRESENTATION For Claimant: Anna Breen ("Breen"), Russell L. Forkey, Esq. of Deerfield Beach, FL 33441. For Respondents: World Invest

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Christine A. Alulis Clement V. Alulis Matthew F. Alulis 93-02091 Name of Respondents Hibbard Brown & Co., Inc. Michael J. Ozga REPRESENTATION For Claimants Christine A. Alulis, Clement V. Alulis and Matthew F. Alulis (hereinafter collectively referred to as "Claimants") appeared Arthur J. Kyriazis, Esq., PA.

II N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Jerry Wong H. Lann Wong NASD Arbitration v. No.93-02089 Name of Respondents Donald & Co. Securities, Inc. Robert Harris REPRESENTATION For Claimants: Michael Huberman, Esq. and Jeff Ferentz, Esq. - Greenbaum and Ferentz - Newport Beach, California For Respondents: Kenneth A. Elan, Esq. - New York, New