N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John R. Pepe 93-00516 Name of Respondents Emanuel & Company Eric D. Emanuel REPRESENTATION For Claimant John R. Pepe ("Claimant") appeared Stafford W. Thompson, Esq., a sole practitioner located in Red Bank, New Jersey. For Respondent Emanuel & Company and Respondent Eric D. Emanuel (collectively referred to as "Respond

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. Huaid, 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

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 Claimant Errol Glasser Award # vs. 93-01518 Name of Respondent Kidder, Peabody & Co., Incorporated REPRESENTATION For Claimant, Errol Glasser ("Claimant") Neal Brickman, Esq. located in New York, New York. For Respondent, Kidder Peabody & Co. ("Respondent") Mark S. Dichter, Esq. from the law firm of Morgan, Lewis & Bockius locat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiman^ George Lavan 93-01500 Name of Respondents A.G. Edwards & Sons, Inc. Robert W. Pleska REPRESENTATION For Claimant George Lavan ("Claimant"): Bruce W. Boyarko, Attorney at Law, Cleveland, Ohio For Respondents A.G. Edwards, Inc. ("Edwards") and Robert W. Pleska ("Pleska"): William S. Port, Litigation Counsel with A.G. Edwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant Robert F. Merriman, Individually and as Trustee of the Robert F. Merriman, M.D., P. A. Profit Sharing Plan and Trust 93-01482 of Respondents Shear son Lehman/ American Express Inc., n/k/a Smith Barney Shearson, Inc.; Lester Pound REPRESENTATION For Claimant: Robert F. Merriman, Individually and as Trustee of the Robert F. Me

Award: NASD Dispute Resolution In the Matter of the Arbitration Between: nf thft r.laimflnts Casft Niimher- 01-02581 Angela Freibaum David Freibaum Names nf the Reqpnnftentg Hearing Site: Washington, D.C. Salomon Smith Barney, Inc. n/k/a CitiGroup Global Markets, Inc., Mary McEachern and Andrew Kistler RFPRF.SFNTATTON Off PARTIES Claimants, Angela Freibaum and David Freibaum, hereinafter collectively referred to as "Claimants", were

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Michael D. Combs and Blanche B. Combs and 93-01454 Name of Respondents * PaineWebber, Inc. and Robert O'Herlihy REPRESENTATION OF PARTIES Michael D. Combs and Blanche B. Combs ("Claimants") were represented by William K. Flynn, Esq., Strauss & Troy, Cincinnati, Ohio. PaineWebber, Inc. and Robert O'Herlihy ("Responden