PVJBUC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01815 AWARD In the Matter of the Arbitration Between Marshall Waller Claimant vs. Wedbush Morgan Securities, Inc. The Chicago Corporation Respondents vs. Alan Shorr Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 11, 1991, Claimant Marshall Waller, through his personal representative, Alan L. Sho

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants John & Judy Mae Nate 91-00947 V Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Dennis Gabel, Esq. Jack Brusewitz REPRESENTATION For Claimants John & Judy Mae Nate ("Claimants"}: John F. Magyar of Magyar & Swisher. For Respondents Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS"} and Dennis Gabel

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Patrick-^!— Morrissey -—- GASH: va. Jack Quinn Bill Doyle Respondents SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1991, Claimant Patrick J. Morrissey who appeared Pro Se, alleged that Respondent Bill Doyle made recommendations for him to hold his Chemix Pharmaceutical stock saying the value wou

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Georgetown Asset Management Frederick J. Kaufman, Jr. Respondents CASK #91-00943 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 25, 1991, Claimant Dean Witter Reynolds f Inc. through its outside counsel Dominick J. Dorata, Esq., New York, NY,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ie Matter cf the AJ Name of Claimants Bernadette Haas Bernadette Haas IRA Carl A. Haas IRA Carl A. Haas Enterprises Defined Benefit Plan Team Haas U.S.A. Ltd. No. 91-00937 Name of Respondent Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES For Claimants: Frank Emmons, Esq. of Schwartz & Freeman For Respondents: Alan Charles Valente, Esq. and Robert Bramnik, Esq

N.A.S.D. AWARD NKTICNRL ASSOCZOTICN OF SECURITIES DEALERS In the Hatter of the Arbitration Between PaineWebber, Inc. Claimant and 91-00928 Robert Realise Claimant appeared and was represented by Edward G. Werner, Esq. of PaineWebber, Inc., Weehawken, New Jersey. Respondent appeared pro se. In a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about March 21, 1991, Claimant PaineWebber, Inc

N.A.S.D. AWARD NKTICNAL ASSOCTATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Mama of Claimant (s) HORACE Muling JR. * HCRACE A< BCr OHPANY, Defined Benefit Pension Plan* TCTACR HEIDI AGENCY OCMPANT, dba MAGNOLIA. ESTKIE BARBARA OACXSCtl, Trustee of the Horace Heidt 1980 Insurance Trust FBO Horace Heidt; BARBARA JZW33CN, Trustee of the Horace Heidt 1380 Insurance Trust FBO Hildagard Heidt; BARBARA JAOECN & STJSKi'

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Prudential Securities, Inc., (Claimant) v. Salomon Smith Barney, Inc., (Respondent) Case Number: 01-00766 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Prudential Securities, Inc. ("Prudential"): James M. Carlson, Esq., Ungaretti & Harris, Chicago, Illinois. Respondent Salomon Smith Barney, Inc. ("Salomon Smith Barney"): Nicholas Berberian, Esq., N

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne Marinelli Joseph V. and Marie T. Carone Billie J. Chez Consolidated No.s Name of Respondent/Third Party Claimant Stephen Browere Name of Third Party Respondent Prudential Securities, Inc. d/b/a Prudential-Bache Capital Funding 91-00922 91-00924 REPRESENTATION OP PARTIES Claimants r Joanne Mar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between T Name of Claimant (s) ) William J. Feeples ) ) Case No. 91-00915 Name of Respondent(s) ) F.N. Wolf & Co., Inc. ) Claimant, William J. Peeples ("Peeples") : was pro se. For Respondent, F. N. Wblf & Co., Inc. ("F.N. Wolf"): John S. Barr, Esq. of Maloney, Yeatts & Barr. Statement of Claim filed: March 20, 1991. Claimant's Submission Agreement