N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lois G. Close 93-02073 Name of Respondents Shearson Lehman Brothers, Inc. Gary Meyerer For Claimant: F. William Meservey, Esq., Huntingdon, New York. For Respondents: Christine Tracy, Esq. of Smith Barney, Inc., New York, New York. CASE INFORMATION Statement of Claim filed: May 24, 1993. Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Anthony R. and Mary Lou Patete 93-02063 Name of Respondents A.G. Edwards & Sons, Inc. Philips, Appel & Walden Inc. Frederick Karafin REPRESENTATION Claimants Anthony R. Patete and Mary Lou Patete ("Claimants") were represented at the hearing by David Nicholls, Esq. of Allentown, Pennsylvania. Respondent A.G. Edwards &

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant J.W. Charles Securities, Inc. Name of Respondents 93-02057 Jon C. Botula Rita C. Botula Name of Third Party Respondent William B. Bruder REPRESENTATION For claimant J.W. Charles Securities, Inc. ("J.W. Charles") appeared Lonnie Browne, Esq. of the law firm of Boose Casey Ciklin Lubitz Martens McBane & O'Connell, located in West Palm Beach, Florida. For

TclGOPY Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: Real Blais, Claimant v. InterFirst Capital Corporation, George E. Collado, Brett S. Briggs, Douglas A. Wright, and Bradford A. Phillips, Respondents Case Number: 01-02608 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: Chad Weaver, Esq. Law Offices of Nash & Edgerton

N. A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Brooks Zajaczkowski 93-02055 Name of Respondents Portfolio Asset Management/USA Financial Group Ronald S. Combs CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 24, 1993, Claimant Michael Brooks Zajaczkowski, who appeared Pro Se, alleged that Respondents Portfolio Asset

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Joseph Trupiano, Jr. and Patrizia Trupiano and 93-02049 Name of Respondents Olde Discount Corporation and Thomas Brehm REPRESENTATION OF PARTIES Joseph Trupiano, Jr. and Patrizia Trupiano ("Claimant") were represented by Joseph H. Spiegel, Esq., Southfield, MI. Olde Discount Corporation ("Olde") and Thomas Brehm, ("Brehm")(co

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philo Finch and Fern Finch 93-02047 Name of Respondents The Bradbury Financial Group, Inc.; Randall Earl Bradbury; Securities America, Inc. REPRESENTATION For Claimants: Philo Finch and Fern Finch ("Finch") were represented by Eric S. Richards, Esq. of Warner, Norcross & Judd, located hi Grand Rapids, Michigan. For Res

JUL-13-9S 14.43 FROM = NASD REGULATION ID. onr-o n Jf , "Mlafc 2/B N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Thomas V. Grohraaim 93-02043 -of Respondents James Sculkn Janes Coutlakis REPRESENTATION Claimant Thomas V. Grohmarm ("Claimant") was represented by Jeffrey P. Bloom, Esq., Duane Morris and Heckseher, Washington, D.C.

N.A.S.D. AWARD NATIONAL ASSOrJATTON OF SECURTTTRS DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Charles E. Rowland and Bette Ann Rowland v. NASD Arbitration No. 93-01938 Name of Respondents Drake Capital Securities and Greg Norlander REPRESENTATION For Claimants: Dennis G. Merenbach, Esq. and J. Leo Fedennan, Investors Rights Association, Santa Barbara, California For Respondent Drake Capital Securities ("D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Nasheng Lin 93-01931 Name of Respondents David Chen Yu Quest Capital Strategies, Inc. Paulson Investment Co. Chiseng Lin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 13, 1993, Claimant Nasheng Lin, through her counsel Howard D. Hall, Pettis, Tester, Kruse & Krinsky,