N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DF.AT.KRS Neurosurgical Associates of Indiana, P.C., et al., Claimants, v. No. 92-03965 Rhoda Israelov, and Shearson Lehman Brothers, Inc., Respondents. REPRESENTATION OF PARTIES Claimants, Neurosurgical Associates of Indiana, P.C.; Neurosurgical Associates of Indiana Employee's Money Purchase Plan; and Neurosurgical Associates of Indiana, P.C., Employes' Profit Sharing Plan ("Claimants")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant G. Patrick Stillman 92-03956 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney Shearson) Robert Grapin REPRESENTATION For Claimant G. Patrick Stillman ("Claimant"): David A. Flores, Esq. of the law firm of Hartman Underbill & Brubaker For Respondents Shearson Lehman Brothers, Inc ("Shearson") and Robert

Awaru NASD Dispute Resolution, Inc, In the Matter of the Arbitration Between Nape of Claimant Joseph F. Sullivan Case No. 00-05015 Names of Respondents Silver Capital Group LCP Capital Corp. Hearing site: Boca Raton, Florida REPRESENTATION OF PARTIES Joseph F. Sullivan ("Sullivan"), hereinafter referred to as "Claimant" appeared gm It- Respondents Silver Capital Group ("Silver Capital") and LCP Capital Corp. ("LCP") did not appear (s

j o? in the matter of the Arbitration Between. Howard Fudenbezg NASD Arbitration »Q* 92-03995 Glenfed Brokerage S«rvic«a Claimant: H Thom»« Pehn, B»q., fields^ ?*hn & aherwin, Loc , California For Rftflpcaodmt : Jo*l Oworkr fieq., itoward , California \ j Statftmant of Claim filed s Hbvambar 20, 1992 Claimant's Submieaion Agxraoant signed t October 9, 1992 statement of Anawer and Counterclaim filed by Ravpondenti February 12

N.A.S.D. AWARD PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold A. Hoenstine 92-03947 Name of Respondent Penn Square Management Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on November 20, 1992, Claimant Harold A. Hoenstine who appeared Pro Se, alleged that in October, 1991 he owned approximately 13,455 shares of U.S. Gove

NASD Arbitration No. 92-03942 _ N.A.S.D- AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant is] Jane H. Clarke Name of Respondent (s) Bateman Eichler, Hill Richards, Inc. REPRESENTATION For Claimant: Jules Leo Federman, Investors Rights Association, Santa Barbara, California and Dennis G. Merenbach, Esq., Santa Barbara, California For Respondent: A. Brad Busscher, Esq., Ke

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lynn Wood 92-03940 Name of Respondents Dean Witter Reynolds, Inc. Watson W. Dyer REPRESENTATION For Claimant, Lynn Wood "Wood"): Robert W. Anthony, Esq. of Warlick, Fassett, Divine & Anthony, Orlando, Florida. For Respondents, Dean Witter Reynolds, Inc. ("DWR") and Watson W. Dyer ("Dyer"): Elizabeth Hill, Esq. of Dean W

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NarneofClairiiant Merrill Lynch Pierce Fenner & Smith Inc 92-03939 Name of Respondent Vista Income Properties, Inc., f/k/a O.B.I.C. Corporation CASE SUMMARY In a claim tiled with the National Association of Securities Dealers, Inc. on November 20,1992, Claimant Merrill Lynch, Pierce, Fenner & Smith, Inc., by and through their counsel Mic

4fc N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant O. Jonathan Steinacker vs. AWARD #92-03935 Name of Respondents Oppenheimer & Co., Inc. Kenneth M. Harb REPRESENTATION For Claimant; O. Jonathan Steinacker appeared pro-se. For Respondent: Karen A. Gould, Esq. of Hertz, Schram & Saretsky. CASE INFORMATION Statement of Claim filed: November 19, 1992. Claimant'

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Baine Morgan Dedman 92-03932 Name of Respondents Shearson Lehman Brothers, Inc. Robinson-Humphrey Company Inc. Conrad J. Zimmerman, Jr. Fred Bingham REPRESENTATION For Claimant: Andrew K. Epting, Jr., Esq., of Wise & Cole, P,A. For Respondents Shearson Lehman Brothers, Inc. ("Shearson"), Robinson-Humphrey Compan