N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold P. Button V. Case # 93-01556 Name of Respondents Fahnestock & Co., Inc. First Albany Corporation For Claimant Harold P. Button ("Button"): Robert L. Ferris, Esq., New York, New York. For Respondent Fahnestock & Co. Inc. ("Fahnestock"): Eric Shames, Esq. General Counsel of Fahnestock, New York, New York. For Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barry and Ellen Levine Case# vs. 93-01547 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION For Claimants, Barry and Ellen Levine ("Claimants"), Edward T. Dangel, ffl, Esq., located in Boston, Massachusetts. For Respondent, Shearson Lehman Brothers, Inc. ("Shearson"), Christopher P. Litterio, Esq., form

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Zygmund and Charlotte Tylock 93-01788 Name of Respondents Seco West Limited David C. Hackney REPRESENTATION For Claimants: Donald G. McGrath, Esq., Buffalo, New York. For Respondents: Paul K. Stecker, Esq. of Phillips Lytle Hitchock Elaine & Huber, Buffalo, New York. CASE INFORMATION Statement of Claim filed: April

N.A.S.D. AWARD N/vTIONAI. ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Alfred L. Cox Janet K. Cox „, NASD Arbitration No.93-01756 Name of Respondent Thomas LaPIante REPRESENTATION For Claimants: Claimants appeared in pro per. For Respondent: Respondent appeared in pro per. CASE INFORMATION Statement of Claim filed: April 30, 1993 and served on Respondent on March 28, 1995

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christine M. Schupbach 93-01754 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Shannon Antle Hamilton and James D. Moyer from the law firm of Stites & Harbison located in Louisville, Kentucky. For Respondent: David B. Sandier from the law firm of Westfall, Talbott & Wood located in Louisville, Ken

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Teal Traina 93-01748' Name of Respondents i Fahnestock & Co., Inc. John Moore REPRESENTATION Claimant Teal Traina ("Claimant") was represented by John E. Lawlor, Esq., Attorney at Law, Garden City, New York. Respondents Fahnestock & Co., Inc. ("Fahnestock") and John Moore ("Moore") were represented by Charles E. Pad

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Treena Sokol Hans Kaemmlein Ronnie Berger Matthew Matza Michael Kleban Barbara Frank 93-01623 Dennis Schweber 93-01624 H. Thomas Fersti 93-01628 93-01631 93-01632 93-01633 93-01634 93-01635 Name of Respondents Joseph R. Hoard, Jr. Shamrock Partners, Ltd. Brian G. McGowan Craig Medoff

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Stanley Dean Witter, Inc. (t/a Morgan Stanley), Claimant v. Delon Bradley, Joseph Manos, Rebecca Saxton, and First Union Securities, Inc., Respondents Case Number: 01-02592 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Patrick J. Folan, Esq. St. John, Wallace, Brennan & Folan LLP Torrance, California For Respondents: William D. Nels

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Treena Sokol Hans Kaemmlein Ronnie Berger Matthew Matza Michael Kleban Barbara Frank 93-01623 Dennis Schweber 93-01624 H. Thomas Ferstl 93-01628 93-01631 93-01632 93-01633 93-01634 93-01635 Name of Respondents Joseph R. Huard, Jr. Shamrock Partners, Ltd. Brian G. McGowan Craig Medoff

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Treena Sokol Hans Kaemmlein Ronnie Berger Matthew Matza Michael Kleban Barbara Frank 93-01623 Dennis Schweber 93-01624 H. Thomas Ferstl 93-01628 93-01631 93-01632 93-01633 93-01634 93-01635 Name of Respondents Joseph R. Huard, Jr. Shamrock Partners, Ltd. Brian G. McGowan Craig Medoff