K.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DERIVES In the Matter of the Arbitration Between Name of ci^™^*- Ruth Van Slyke vs. NASD #91-02223 Dean Witter Reynolds, Inc. St.Tphpn Langs Fred Martin For Claimants Archibald M* Mull, IH t Esq. , Sacramento, California Foo: Respondents: Jay M. Cutler, Esq., Dean Witter Reynolds, Inc., San Francisco, California GRSB Sfcatanent of Ha-im filed: July 13, 1991 Claimant's Subm

PUBLIC Arbitration N.A.s.D. AWAKiS National Association of Securities Dealers, Inc. NATICtfflL ASSOCIATION OP SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 10004 FAX (212) 858-4389 Name of Claimant Jack Kamzan 91-02222 Name of Respondents H.D. Brous & Co. Newbridge Securities, Inc. Hoard Brous For Claimant: Setli Lipner, Esq

PUBLIC ~ N.A.S.D. AMAED NKTICNRL ASSOCXXnCN OF SBCCRITIES DEAIERS In the Matter of the Arbitration Between. Of Agnes Tarino of R Esponc Prudential Securities Inc E. Arbitration National Association of Securities Deafer*. Inc* NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 358-4389 91-02220 For Lifland Agnes Torino ("Claimant"): Mary Ami Stokes, Esq. of Oolm and FOr RespCDd

Arbitration ~ W.A.5.JJ. AHAKU NATIONAL ASSOdATICII OF SBCDRITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Helen R. Mandel Name of Respondent (a) Equioo Securities, Inc. Equitable Life Assurance Society Martin Cohen National Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case No. 91-02214 For Claimant, Helen R. Mandel ("

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Estate of John Tomusiak (Claimant) v. Bluestone Capital Partners, L.P, Cornerstone Securities Corporation, Jon E. Belkin, and Isaac Fleyshmakher (Respondents) Case Number: 01-00795 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Estate of John Tomusiak, represented by Marian Tomusiak, hereinafter referred to as "Claimant": Howard M. Rosenfield, Esq., Farmingt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF. SECURITIES DEALERS Case Number 91-02212 Ycsef Sheffi v. Shearson Lehman Hutton, Inc. and Eric Anderson CASE INFORMATION This proceeding brought by Claimant, Yosef Sheffi, against Shearson Lehman Hutton, Inc. and Eric Anderson was commenced by a uniform submission agreement executed by Claimant on July 15, 1991, by Respondent Shearson on September 30, 1991 and by Respondent Anderson on December 3, 1991. Cla

N.A.S.D...AWARD NATICNftL ASSOCIATION OF SEOJRITIES DEALERS In the Matter of the Arbitration Between NanieofQaiinant vs. 91-02208 of Abbas Khoshneviassan and Donal Jenrette Securities Corporation For dainant: Michael L. Paule, Investors Arbitration Services, Inc., 21550 Qxnard St., Suite 300, Woodland Hills, California 91367. For Respcotents: Michael J. Lawson, Esq. / Steefel, Levitt & Weiss, One Etabarcadero Center, 29th Floor, $™\ Fran

N.A.S.D. AHUZD NKTKHAL ASSOdKnOI OF SSCORITIES DEALERS In cbe Matter of the Arbitration Between of Brandes Properties Ltd. Bill Anton Brandes Bernard Kahn Williamfi. Kahn Virginia Kabn Ooogler . ^. 91-02207 Hams of Respondent (s) Efcpler, Guerin & Turner, Inc. For Claimants : Brandes Properties, Ltd., Bill Antcn Brandes, Bernard Kabn, William B. Kahn and Virginia Kaim Googler were represented by J. Eugene f Esq. of Portesr &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Ann Murphy, Personal Representative of the Estate of Virginia Taylor, Deceased and 91-02201 "-— Name of Respondents . . — A.G. Edwards & Sons, Inc. John Gillen Randall Kiessei James Griffin REPRESENTATION OF PARTIES Ann Murphy, Personal Representative of the Estate of Virginia Taylor, Deceased("Claimant") was

N.A.S.D. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Diana Pagel No. 91-02200 Name of Respondents ^L . — R.G. Dickenson & Co. - ^ Allied Group Securities Corporation Michael Nixon REPRESENTATION OP PARTIES For Claimants: Gail E. Boliver, Esq of Boliver Law Firm, Marshalltown, Iowa. For Respondents: David W. Dunn, Esq. of Davis, Hockenberg, Wine, Brown, Koehn & Shors,