N.A.S.D. AWARD NATIONAL ASSOCIATION OF SkLtlKTi'lES DEALERS In the Matter of the Arbitration Between Name of Cla ivm*. Leslie A. Gcntoerg of NASD Arbitration No. 91-04046 Ranald C. Lefkcwitz For Claimant: Carroll R. Melton - Arbitration Consultants For Respondent: In Fro Se Statement of ma-i™ filedi December 20, 1991 Claimant's Submission Agreement signed on: December 9, 1991 Statanent of Answer filed by Respondent on: April 4, 1992

N.A.S.D. AWARD MATICJIAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald B. Egan d.b.a Donnegan R. International"^ Inc. 91-04043 Name of Respondents Shearson Lehman Brothers, Inc.; Mark Stevenson; David Bromberg RBPRESKHTATIOH For Claimant: Donald B. Egan d/b/a Donnegan R. International Inc. appeared pro se. For Respondents: Shearson Lehman Brothers, Inc., Mark Stevenson and David

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00859 George E. Prindible, claimant vs. Thomas Weimer, Kidder, Peabody & Co. and PaineWebber, Inc. respondents. ATTORNEYS: Claimant appeared Pro Se, Hilton Head, SC. For Respondent Kidder, Peabody & Co., Incorporated appeared Peter Salerno, Esq., in-house counsel, New York, NY. For Respondents PaineWebber and Thomas Weimer appeared Vincent Oliva, Esq., in-house counsel, Weehawk

_ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Estate of Meir S. Mukamal Barry Mukamal, as co-executor Stuart Mukamal, as co-executor Reisa Arnold, as co-executor 91-04042 Name of Respondents Smith Barney Harris Upham & Co., Inc. Edmond H. Masri REPRESENTATION For Claimants, the Estate of Meir S. Mukamal, Barry Mukamal, Stuart Mukamal ("the Mukamals") and Rei

N.A.S.D. AWARD NATIONAL ASSOCIATION. OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sylvia M. Lee 91-04034 Name of Respondents " *"" Shearson Lehman Brothers and Tom High REPRESENTATION For Claimant: Pro Se. For Respondents: J. Thomas Vitt, Esq., of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed: December 19, 1991. Amended Statement of Claim/Response to the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Fred B. Cushman vs. 91-04033 Name of Respondents Barrett Day Securities, Inc. David Berger Barry Schwartz James Weiss Howard Schwartz REPRESENTATION For Claimant: Richard J. Blumberg, Esq. of McLaughlin & Stern, Ballen and Ballen. For Respondents, Barrett Day Securities, Inc., David Berger and Barry Schwartz: Gerald

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama o-f PI ^ -j ma-nt-fl Jan & Iris Goldberg 91-04032 Mama of M Tucker, Anthony & R.L. Day Inc. and Susan C. Grossman REPRESENTATION For Claimants Jan & Iris Goldberg: Stuart Kaufman, Esq. of Fisch & Kaufman. For Respondents Tucker , Anthony & R.L- Day Inc . and Susan C . Grossman: Paul Lieberman, Esq. in-house counsel at Tucker Anthon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Richard V. Warden CASE NO. 91-04030 Name of Respondentfs) Dean Witter Reynolds, Inc. REPRESENTATION For Claimant, Richard Warden ("Warden"): pro se. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Carol B. Schachner, Esq. of Dean Witter Reynolds, Inc. Statement of Claim filed: December 20, 1991. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ehrhard Bahr Diana Bahr NASD Arbitration No. 91-04028 Name of Respondents Chris B. Johnson E.I. Sales, Inc. REPRESENTATION For Claimant: Michael L. Paule - Investors Arbitration Services, Inc. Woodland Hills, California For Respondent, E.L Sales, Inc.: Thomas M. Zyrek, Esq.- Nyraasicr, Goode, McLaughlin, et al.

N.A.S.D. AWARD NATieNAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Jacqueline Cotsen Name of Respondent Bear, Stearns & Co., Inc. Steven Artebi NASD Arbitration No 91-04024 REPRESENTATION For Claimant: Ann A. Anderson, Esq. - Woodland Hills, California For Respondents: Michele R. Fron, Esq. - Keesal, Young & Logan - Long Beach, California CASE INFORMATION Statement of Claim f