Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kendra Poulsen, Claimant v. National Planning Corporation, Respondent Case Number: 01-01048 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: H. Thomas Fehn, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent: Jennifer A. Zolezzi, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald Los Angeles, California CASE INFORMATION

ARBITRATION AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Shy Glass, Tillie Glass and Jerry Glass 95-03975 Name of Respondents Beacon Securities, Inc.; Regional Operations Group, Inc.; Jeffrey L. Streich; David A. Scheffler; Keith Youngswick; RPR Clearing, a Division of Rauscher Pierce Refnes, Inc. REPRESENTATION For Claimants: Shy Glass, Tillie Glass and Jerr

Case No. 95-03974 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald D. Weisel & Audio of America, LTD v. Name of Respondents South Richmond Securities, Inc. Erik John Drewes Bruce Guarino Rickel £ Associates REPR^SgNTATIQN For Claimants, Ronald Weisel and Audio By Design ("Claimant"), appeared David Hirschberger, Esq. of Wexler & Burkhart located in Mit

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants LeRoy A. Smith, M.D., P.A, Pension Plan LeRoy A. Smith 95-03969 Names of Respondents Evensky & Brown Investments Inc. Marc H. Singer REPRESENTATION For Claimants, LeRoy A. Smith, M.D,, P.A. Pension Plan and LeRoy A. Smith ("Smith"): Frank R. Brady, P.A., Boca Raton, Florida. For Respondent, Mark H. Singer ("Singer"); T

SENT BY: 6-28-98 ;12:18PM ;NASD ARBITRATION DPT- 12122087561;# 2/13 N.A.S.D. AWARD NATION AT. ASSOCIATION OF SHCURITIHS DEALERS. INC. In the matter of the Arbitration Between Name of Michael C. Laugen NASD Arbitration No. 95-03968 Naipg pf RcspQiy* ents Stratton Oakmont, Inc. and Samuel R, Weber For Claimant: Robot A. Uhl, Esq. Aidikoff&Kesiuk Los Angeles, California For Respondents: Michael P. Gilmore Wexicr & Burkhart M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Mary Jane Estes and Janie L. Beatty, Claimants, v. No. 95-03966 S. Gregory Smith Capital Investment Managers, Inc. Pershing Division of Donaldson Lufkin & Jenrette and Donaldson Lufkin & Jenrette Securities Corporation, Respondents. REPRESENTATION OF PARTIES The Claimants Mary Jane Estes and Janie L. Beatty ("Claimants") were represented Ronald L, Wilkinson, Esq. of Dallas, TX

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles T. and Alice B. Radcliff 95-03965 Name of Respondents Stratton Oakmont, Inc. Stephen G. Buxton CASE SUMMARY tn a claim filed with the National Association of Securities Dealers, Inc. on August 17, 1995, Claimants Charles T. and Alice B. Radcliff ("Claimants"), who appeared Pro Se, alleged that Respondents Stratton

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Stellar Pharmacal Corporation 95-03960 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION For Claimant, Stellar Pharmacal Corporation ("Stellar 11 ); Paul J. Robinson, Esq., of Robinson* and Marks, P.A., of North Miami Beach, Florida. For Respondent, Merrill Lynch, Pierce, Fenner & Smith, Inc. (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cornelius and Cynthia Tooson, Claimants Vs. JJ.B. Milliard, W.L. Lyons, Inc., Bryan S. Lamers, and Steven J. Harrell, Respondents. Case Number: 01-01046 Hearing Site: Cincinnati, Ohio REPRESENTATION OF PARTIES Cornelius Tooson of Cincinnati, Ohio, represented Claimants Cornelius and Cynthia Tooson ("the Toosons"), hereinafter referred to as "Claimants".

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between © Naiional Association Name of Claimants Securities Dealers, IFK Daniel Phillips Ail Rights Reserved Maria Phillips 95-03957 Name of Respondent Smith Barney Shearson, Inc. REPRESENTATION Claimants Daniel and Maria Phillips ("Claimants") were represented by David F. Albright, Esq. and Cynthia E. Rodgers-Waire, Esq., Albright, Brown, & Ca