N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS of Claimants /Counterrespondents Dean H. Poynter Jeffrey D. Poynter No. 92-01776 Name of Respondents /Counterclaimants Prudential Securities, Incorporated Robert Garrett, Sr. REPRESENTATION OF PARTIES For Claimants: John Miller, Esq., of Nygaard & Associates, Overland Park, Kansas. For Respondents: Robert S. Getman, Esq., of Prudential Securities, Incorporated, New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dana R. Dodson 92-01775 Name of Respondent Barrett Dav Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on May 28. 1992, Claimant Dana Dodson. who appeared Pro Se, alleged that on June 29, 1990 he purchased 2,500 shares of UTS-Quicksilver Enterprises. Inc. at 1 1/8 for $2,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-01771 AWARD In the Matter of the Arbitration Between Edmund Scott Brown Claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 27, 1992, claimant Edmund Scott Brown, who appeared Pro Se, alleged that Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. through its brok

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aibitration Between Josef Rotter NASD #92-1761 vs. David Paul Kane, Kennedy Cabot & Company, Inc. For Claimant: Frank S. Carieo, Esq., Ingiewood, CA For Kcspoodents: Geoige H. Kuppw, Esq., Kennedy Cabot & Co. , Inc., Beverly HGH*, CA Statement of Claim filed: May 27, 1992 Claimant's Submission Agreement signed: May 15, 1993 Statement of Answer Hied by Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin E. Lockhart Case #92-01739 Name of Respondents Advest, Inc. Abraham Yacteen REPRESENTATION For Claimant, Edwin E.Lockhart ("Claimant"), Lynre Harns, Esq., from the law firm of Hans and Curran, P.C. For Respondents, Advest, Inc. ("Advest") and Abraham Yacteen ("Yacteen"), William Freitag, Esq. in-house counsel at A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roberta D. Loomis 92-01731 Name of Respondents Stratton Oakmont, Inc. David Margules Jordon R. Belfort Kenneth S. Greene REPRESENTATION i For Claimant, Roberta D. Loomis ("Loomis"): Carl L. Distefano, Esq., of Fox & Horan. For Respondents, Stratton Oakmont, Inc. ("Stratton"); David Margules ("Margules"); Jor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter P. Tornatore No. 92-01726 Name of Respondent Blunt Ellis & Lowei, Inc./ Kemper Securities, Inc. REPRESENTATION OF PARTTCS Peter P. Tornatore appeared pro se. For Respondent: Robert S. Steigerwald, Esq., Kemper Securities, Inc., Chicago, Illinois. CASE INFORMATION Statement of Claim filed: May 22, 1992. Claiman

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Dr. Pervez Yusaf, Ezra Yusaf, Michael A. Yusaf, Tania E. Yusaf, and Shakuntala Haroon and 01-00896 Southfield, Michigan Raymond James & Associates, Inc. William C. Mueller REPRESENTATION OF PARTIES Dr. Pervez Yusaf, Ezra Yusaf, Michael A, Yusaf, Tania E. Yusaf, and Shakuntala Haroon ("Claimants") were represented by Scott L. Mandel, Esq., Foster, Swift, Collins & Sm

N.A.S.D. AWARD In the Matter of the Arbitration Between Name of Claimant(s) John William Miller, H, Elizabeth Sterling Miller and Hartley Raymond Miller, B.N.F. Carol T. Miller and John Hartley Miller, as Trustee of FBO S.P. Davis Trust A. FBO S.P. Davis Trust B, and FBO S.P. Davis Trust C 92-01724 Name of Respondent s) The Robinson-Humphrey Co., Inc, Richard King REPRESENTATION For Claimants: Edward H. Saunders, Esq.

\OY.-'33'«rtEDl- 1MI ?RDDEST1AL SECURITY TEL:2L3 486 5-95 P. 02 October 21,1993 B14., Cfeticpmoa •HUDCHU ef fieeutfei Dealm, v flg AitarrBATtnN ofifa Ptwi: fonnai Jdat Motion for Entry of Stipulated ConantAwnd Thisltmr ixtthetbovt WHESEAf, Ojcteam, PmdMftiil Sacurinc* InfioTpamMl C^^^i commanced an procoedint QlASD Mo. 32-0171S) At^^ Re^oaicnt, Ktrnlrf Orott CGto**'), 00 M tbttlt Miy 14 1992 tttUni to Meovftt irwuna ewwd under a