MODIFIED N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Allan & Joan Storace Allan Storace/TTEE Jean Storace Tr. vs. Case » 92-02960 Name of Respondents Prudential Securities. Inc. Herbert A. Kroner REPRESENTATION For Claimants: Lawrence R. Gelber, Esq. of Beigel & Sandier. For Respondents: Andrew W. Sidman. Esq. of Butler, Fitzgerald & Potter. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Temple University of the Commonwealth System of Higher Education 92-02959 Name of Respondents Prudential Securities Inc David Beale Robert Hirsch For Claimant Temple University of the Commonwealth System of Higher Education ("Claimant"): Michael K. Goran, Esq. of the law firm of Klehr, Harrison, Harvey, Branzburg & EUer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of CaJr Robert Ash 92-02958 Name of Respondents Shearson Lehman Brothers, Inc. f/k/a E.F. Hutton, Inc. Christopher T. Mueller CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 2, 1992, Claimant Robert Ash, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. , thr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Max Wailis 92-02954 Name of Respondents J.W. Gant and Associates. Inc. James S. Hall CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September 2. 1992. Claimant Max Wailis. who appeared Pro Se, alleged that after Respondent James S. Hall, an employee of Respondent J.W. G

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mary T. Zummo Valerie J. Fernandez 92-02950 NameofResTOndents A.J. Brent FSC Investment Planning, Inc. Keogler Morgan & Co. Claimants Mary T. Zummo ("Zummo") and Valerie J. Fernandez ("Fernandez") were represented by Alan J. Fedor, Esq. of Fedor & Fedor, Lugo, FL. Respondent A.J. Brent ("Brent") was pro se. Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In A Consolidated Matter of the Arbitration Between ^NajnecrfjCIaijnant Bobby W. Harrelson #92-03104 AWARD Name of Respondents Consolidated with #92-03107 Award J.C. Bradford & Co. B. Rex Stephens v. Michael Masters J.C. Bradford & Co., and Michael Masters CASE SUMMARY In claims filed with the National Association of Securities Dealers, Inc. on September IS, 1992, by Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In A Consolidated Matter of the Arbitration Between Name of Claimant Bobby W. Harrelson #92-03104 AWARD Name of Respondents Consolidated with #92-03107 Award J.C. Bradford & Co. B. Rex Stephens v. Michael Masters J.C. Bradford & Co., and Michael Masters CASE SUMMARY In claims filed with the National Association of Securities Dealers, Inc. on September IS, 1992, by Claimant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sarah E. Schild DonaJd E. Robinson and Rebecca Robinson 92-03061 Name of Respondents Shearson Lehman Brothers, Inc. Keith B. Carlyon REPRESENTATION For Claimants Sarah E. Schild and Donald E. Robinson and Rebecca Robinson ("Claimants"): Anthony V. Trogan, Esq. of the law firm of Weisman, Trogan, Young & Schloss, P.C. o

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph L. Longhito (Claimant) vs. EBI Securities Corp., Global Capital Securities Corporation and Omar A. Baksh (Respondents) Case Number: 01-02452 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Joseph L. Longhito hereinafter referred to as "Claimant": Brian H. Reis, Esq., Brian Reis & Associates, New York, NY. Respondents EBI Securities Corp. ("EBI"), Globa

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anthony Benjamin Aldorasi 92-03054 Name of Respondents A.F. Green & Company. Inc. Norman Wenheimer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 11,1992, Claimant Anthony Benjamin Aldorasi. who appeared Pro Se, alleged that he purchased a registered bond for