NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimant Yigal Buchman 96-01774 Name of Respondents Greenway Capital Corporation Joseph Guccione Fred Luthy Robert Neff Mayer Amsel John Margiotta REPRESENTATION For Claimant Yigal Buchman ("Buchman") appeared Martin Mushkin, Esq., a sole practitioner located in New York, New York. For Respondents Greenway Capital Corporation ("Greenway"), Joseph

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimants Charles R. and Marcia E. Fuller 96-01763 Name of Rest Merrill Lynch Pierce Fenner & Smith Inc David A. Johnson REPRESENTATION For claimants Charles R. and Marcia E. Fuller ("claimants") appeared Michael P. Pagnozzi, Esq., of the law offices of McKenna & Cuneo, LLP located in Denver, Colorado. For respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald Faeh 96-01761 Name of Respondents Dean Witter Reynolds Inc. Michael Hemming REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, FL. For Respondent Dean Witter Reynolds, Inc.fDean Witter"): Allison Bany Doneghey, Esq. , in- house counsel at Dean Witter Reynolds, Inc. For Re

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Frederick G. Uhlmann 96-01760 Name of Respondent Rodman & Renshaw Inc. REPRESENTATION For Claimant: Frederick G. Uhlmann ("Uhlmann") was represented by Lawrence C. Rubin, Esq. of Shefsky Froelich & Devine Ltd., located in Chicago, Illinois. For Respondent: Rodman & Renshaw Inc. ("Rodman") was represented by Michael J. Gaetner,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nina H. Katzin vs Interfirst Capital Corporation, Yossi Attia and Brett Briggs Case Number: 01-02048 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Nina H, Katzin For Respondents: Interfirst Capital Corporation Brett S. Briggs First Allied Securities, Inc. Douglas A. Wright Bradley A. Phillips Mitchell J. Albert, Esq, Al

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Karen and Pamela Nobel Case No. 96-01759 Names of Respondents JW Charles Securities, Inc. and Sheila Whitfield REPRESENTATION OF PARTIES For Claimants: Gerald Z. Rossow, Esq., Jupiter, Florida. For Respondents JW Charles Securities, Inc. ("JWC") and Sheila Whitfield ("Whitfield"): Charles Scarlett, Esq. of JW Charles Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grady Cooksey, Sr. 96-01758 Name of Respondents A.G. Edwards & Sons, Inc. C. Robert Ball REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, FL. For Respondents: Jeff Jamieson, Esq., Associate Vice President & Counsel, A.G. Edwards & Sons, Inc. ("Edwards"). CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 96-01754 Name of Respondent Kirk Y. Tang CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on April 23, 1996 cJaimant Prudential Securities, Inc. ("Prudential") through its representative and counsel Linda A. Gallagher, Esq. of the law firm Gomberg, Kane

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Kenneth J. and Leslie C. Silver 96-01751 Name of Respondents Olde Discount Corporation Kenneth Mueller REPRESENTATION Claimants Kenneth J. and Leslie C. Silver ("Claimants") were represented by Thomas C. Wagner, Esq., Chattman, Gaines & Stern, Independence, OH. Respondents Olde Discount Corporation ("

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marjorie Tniitt 96-01748 Name of Respondent Gibraltar Securities Co. REPRESENTATION For claimant Marjorie Truitt ("claimant") appeared Morgan W, Bentley, Esq., a sole practitioner located in Newark, New Jersey, For respondent GibraJtar^ecurities Co, ("respondent") appeared Matthew Farley, Esq. and John E. J