N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the totter of the Arbitration Between Amie L.F. Tippett 91-00261 Name of Respondents W.H. Newbold's Sons & Co., Inc. John M. Duffin Gordan Wright For Claimant: Drew S. Dorfman, Esq. of Krimstock & Dorfman. For Respondent: Phillip D. Berger, Esq. of Klehr, Harrison, Harvey, Branzberg & Ellers. Statement of Claim filed: January 24 , 1991. Joint Statement of Answer filed by an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: nf-lhp P]^|pant Cfl^ NlUTlb^T 00-04942 Michael D. Whitfield HftflrJTig $itg' Baltimore, MD Prudential Securities, Inc. Charles Toadvine Claimant, Michael D, Whitfield ("Whitfield"), hereinafter referred to as "Claimant": William S. Heyman, Esq., Tydings & Rosenberg, Baltimore, Respondent, Prudential Securities, Inc. ("PSI") hereinafter referred to as ''Respondent PSI"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Virginia I. McCoskrey No. 91-00 Name of Respondent(s) Jerald R. Carey -'• *"• The Carey Company REPRESENTATION OF PARTIES For Claimant: Douglas P. McLeod, Esq. and Karl Zobrist, Esq. of Blackwell Sanders Matheny Weary & Lombardi. For Respondents: Ron Hollinger, Esq. of Boland, McQuain, Block, DeHardt & Rosenbloom.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration. Between Name of Claimant (s) Elisa H. Lucksinger 91-00249 Name of Respondent (a) Rauscher Fierce Refsnes, Inc. John M. Tim: For Claimant: Elisa H. Lucksinger was represented by Lisa D. Schafroth, Esq. and Steven H* Bowers, Esq. of Winstead, Sechrest & Minick, Austin, Texas. FOOT Respondents: Rauscher Fierce Resfnes, Inc. was represented by Scott M.

N.A.S.D. AWARD In the Matter of the Arbitration Between o f Roy & Ramona Denham, Elva Wood, Jules and Adele Weinberger, et al. 91-00248 Name of Respondents s=s^^»ss^«=^^s^^=^^ -•- •?*- First Investors Corporation, et al. For Claimants: William B. Federman, Esq. of Day Hewett &. Federaan, Oklahoma City/ Cfclabona. For Respondents: Glenn R. Reichardt r Esq. of Kirkpatrick & Locfchart, Washington, D.C. case Statement of

N.A.S.D. AWARD NftTICNAL ASSOCIATION OF SECURITIES DEM£RS In the Matter of the Arbitration Between Maimley S. Claimant #91-00244 and Dean Witter Reynolds, Inc. and David L. Childexs Respondents VFTCM OF PARTTES Claimant Mannley S. Bromwell appeared pro se. Respondents Dean Witter Reynolds, Inc. and David L. Childers were represented by Wendy R. Robinson, Esq. In a Statement of Claim filed with the National Association of

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between " NameofClaiinaut Shepard & Vrbanac Securities, Inc. ni int ip f U uLiU 91-00241 of Donald A. Johnson Name of T^-nd- party Respondents Mesirow Capital , Inc. Karen K. Amorati National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (21

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Aida M. Conkey Frank Potera James Van Houten (Claimants) Case Number: 00-04941 George Riccio, Jr. Gaines Berland, Inc. Bear Stearns & Company First American Equities, Inc. Fiserv Correspondent Services, Inc. Eisner Securities, Inc. National Financial Services Corporation Sunpointe Securities, Inc. Raike Financial Group, Inc. Southwest Securities,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Carl H. and Louise Rimmler Beatrice M. Birkhimer Charles G. Cerrato Henry Fallucca Joseph Pugliese Patricia Ronco JaneH. St. Denis Winnie and Leola Sparks Julius and Ruth Eagerman Case No. 00-00504 Names of Respondents Investors Capital Corp. Angela M. Staub Virgil A. Smith Charlotte Ann Tomaske (n/k/a Ann Arthur) K

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants The Estate of Halliet J. Dane] Shirley C. Danel Halliet J. Danel, III, Case No. 00-00058 Names of Respondents Investec Ernst & Company, successor of Stuart, Coleman & Co., Inc. Michael C. Brescia B'Tween Us Hearing Site: New Orleans, LA REPRESENTATION OF PARTIES For The Estate of Halliet J. Danel (the "Estate"), Shirley C. Danel ("