N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the matter between Marilyn Schneider and No.93-00068 Financial Planning Consultants. Inc.. Kineslev I. Wright. Sr. and Frank Gervascio REPRESENTATION OF PARTIES Claimant, Marilyn Schneider was represented by Marvin Klamen, Esq., Sole Practitioner, of St. Louis, MO. Respondents, Financial Planning Consultants, Inc., Kingsley I. Wright, Sr. and Frank Gervascio . were represented

QfrtUOO NASD Arbitration No. 93-00046 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS^ INC. In the matter of the Arbitration Between Name of Claimant (s]^ Eugene Pollack Name of Respondent(s) F.T. Bank & Associates Vanguard Capital Frank T. Bank REPRESENTATION For Claimant: David C. Hinshaw, Esq., Gansinger, Hinshaw & Buckley, Los Angeles, California For Respondents: Jeffrey S. Kob, Esq., Miller Milove & Kob, San

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Shearson Lehman Brothers, Inc. and 93-00017 Name of Respondent Gary E. and Marilyn Bullock REPRESENTATION OF PARTIES Shearson Lehman Brothers, Inc. ("Claimant") was represented by Charlene F. Marsh, Esq., Little Rock, Arkansas. Gary E. and Marilyn Bullock ("Respondents") appeared pro se. CASE INFORMATION The Statement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Datek Securities Corporation 93-00014 Name of Respondent^ Reich & Co. Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 4, 1993, Claimant Datek Securities Corporation, through its outside counsel, Simon S. Kogan, Esq., NY, NY, alleged that Respondent Reich & Co., Inc. ente

OCT. 7.1997 9:57flM NflSD REGLJLfiTION INC NO.S06 P.2 . _... N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the MittflT of the AilAnnnn Between MkfaMl Loner indrodoally and as PhyllU Mtto InttividwOly ind M aiBCutui of the TbiMfl of Mlmfe T/imnf, Ud IS — • 4k^, ¥f ^^4^ —J % tf^jafcla T AMM^M Tyt (DB ^DBEBHD DK UK0IIUD ^MDKHBF 93-00002 Bichird Sclnrastz Inc. IK. For Oftimafltt, lUdwl Lanr indMdadty CM. Lean*), Ph^Hi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Milan and Johanna Krpan vs. Name of Respondents Smith Barney Harris Upham & Co., Inc. H. Thompson Rodman, Jr. Cynthia A. Mumby Case No. 92-04384 For Claimants Milan & Johanna Krpn ("Claimants"), appeared David C. Harrison, Esq. located at 2100 Arch Street, 8th Floor, Philadelphia, PA 19103 For Respondents Smith Bar

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NamgofClaiinantfs) Emily DeWoIfe 92-04381 W.J.Nolan & Company, Inc. Robert J. Panneil For Claimant: K. Will Pctterson of Arbitration Recovery Consultants, Inc. For Respondent Hayward Richard Pressman, Esq., sole practitioner. CASE INFORMATION Statement of Claim filed: December 30, 1992. Claimant's Submission Agreement signed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Michael W. Monchino and Donna K. Monchino; Michael W. Monchino for Matthew T. Monchino, Minor. 92-04375 Name of Respondents Vanguard Discount Brokerage Services, a division of Vanguard Marketing Corporation; Zaheer T. Husain; - Richard J. McHale; Timothy P. Holmes; ..... Scott Ramsey; Karl Kohl. REPRESENTATION For Claimants: Mic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Dana L. Muonek 92-04371 of R Merrill Lynch, Pierce, Fenner & Smith. Inc. John Nuilheiu Dana L. Masonek ("Oaknant") WHS fepieaemed by Jeffrey Cook, Esq. of Sullivan Patter & Cook, Dallas, Texas. Merrill Lyacn, Pierce, Fcnner & Smith, Inc. and John Northern ('Rwpondentt") were lepiesented by Gregory D. May. Esq. of Mona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: BioPharma Capital Limited and Modern Medicine Fund, (Claimants) vs. Lehman Brothers Inc., Lehman Brothers International (Europe), and Lehman Brothers Holding Inc., (Respondents) Case Number: 01-02555 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, BioPharma Capital Limited ("BioPharma") and Modern Medicine Fund ("Modern"), hereinafter collectively referred to a