PUBLIC N.A.S.D. AWARD NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Elsie Hershey & Dante Nicolello 91-02280 Name of Resp" nri « ain .t (s) First Investors Corporation First Investors Fund For Tnconp, Inc. For Claimants: Richard Afpletay, Esq. of the law Offices of Richard Appleby in New Yorfc City. For Respondents: Larry Lavoie, Esq. of Kiikpatrick & Lockhart in Washington;

Arbitration H.A.S.D. AWARD National Assoc«tion of Securities Dealers, Inc. __ _ NASD Financial Center NATICKRL ASSOCIATION OF SECDRITTES DEALERS 33 Whitehall Street _ New York. N.Y. 1 0004 In the Matter of the Arbitration Between FAX (212)858-4389 of Claimant Alan M. Freund 91-02279 NamBofRespondents Prudential Securities Inc Christopher Sargent For Claimant Alan M. Freund ("Claimant"): John L. Seibel, Esq. , Attorney at Law.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimants James and GeraJdine R. Parks -__ and 91-02276 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and Thomas Gavin REPRESENTATION OF PARTIES Claimant James and Geraldine R. Parks was represented by James H. Bingaman, Esq., Fayetteville, Arkansas. Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. was

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Arbitration Between Thomas E. & Evelyn Miller Claimants vs . West America Investment Co. Richard T. Whalen CASE #91-02273 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 25, 1992, Claimants Thomas E. & Evelyn Miller, who appeared Pro Se, alleged that Respondents West America Investment Co. and Richard

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04961 Paine Webber Inc., claimant vs. Thomas Rendl, respondent. ATTORNEYS: For Claimant appeared Lisa A. Catalano, Esq., of the Law Offices of Joel E. Davidson, Park Ridge, NJ. Respondent appeared Pro Se, Libertyville, IL. DATE FILED: November 8, 2000 CASE SUMMARY: Claimant alleged that respondent defaulted on a settlement agreement pertaining to his employee forgivable loan. C

t N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Frederick A. Lewis, Jr., M.D. f P.C., Frederick A Lewis, Jr., M.D. and Jeanne C. Lewis, individually and as Trustees, Frederick A. Lewis, Jr., M.D., P.C. Pension Trust and Profit Sharing Trust and -•• *-• 91-02271 Name of Respondents Oppenheimer & Co., Inc., Tucker Anthony Incorporated and James J. Stea

NJLS.D. OF la the Hatter of the Arbitration Between Of Electric Service, Inc. 91-02268 Of FiMII IT indents Dean Witter Reynolds, me. William R. Sather Foe ma-learnt-. Mart J. Briol, Esq. and Gregory L. Wilaes, Esq. of Briol anri WilJDBB, M< T Fior Respondents: Richard A* Rogoff, Esq. of Dean Witter Reynolds, Inc. StataMnt of rn»< « filed July 25, 1391. dainant's ftflir* a ?iT | ^reement signed en July 22, 1991* Join

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Robert & Julie F. Moore 91-02267 Name of Respondent^ Securities Service Network, Inc. Robert L. Bootes REPRESENTATION For Claimants Robert and Juanita F. Moore: Wesley Gersh, Esq., of Gersh Law Offices. Respondent Robert L. Bootes, appeared Pro Se. Respondent Security Service Network, Inc. settled before the hearing.

PUBLIC Arbitration N.A.S.D. AWARD National Association of ... Securities Dealers, Inc. NATIONAL ASSOCLATICN OP SHHJH1T1KB DEALERS 33 White^Stoeet" ^ __ __ _ _ New York, N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Richard L. Fischl Case # vs. 91-02265 Name of Respondent M. Ri-mscn & Co., Inc. For Claimant: Pro se. For Respondent: Msshe Rimson Statement of Halm filed: July 24, 1991. Claimant's Submissi

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02263 ANBED In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. House Productions Harvey House Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 24, 1991, Claimant, PaineWebber, Inc. by and through their in-house counsel Garry >T. Stegeland, Esq., alleged that on or about August 11, 1990, Respond