NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Jtatter of the Arbitration Between Arbitration AMOcJatfoo of SccurttfM Dwi«r*, inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 3330t (305) 522-7391 Nicholas Corcokios Mama of P oa O''-f s\ G.K. Scott & Co. Inc. Alierton Itowne Tojnotny Cirauio Heard before the Arbitrator: Louise T. Jeroslow, Esq. ) Case No. 90-03117 Public Claimant, Nicho

N.A.S.D. AWARD NKEECNAL ASSOCIATION OF SBCUKl'i'lKS DEALERS In the Matter of the Arbitration Between" of Rose D. Adler 90-02942 Name of Respondent (s) Kidder, Peabody & Co., Incorporated Richard Reid/ For Claimant: William. Greenberg, Esq. For Respondent; Ihomas A. Duhbs, Esq. CRSE INPOKMKnXK Statement of Claim filed: October 19, 1990* Attended Statement of ma-im filed Nbvsiber 8, 1990. Claimant's Reply to Response of B^mpqtvfe"

Arbitration " N.A.S.D. AWARD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Seth Justman vs. Name of Resnrrelpnta Sbearson r^«i«n Brothers, Inc. Kathleen Hegenbart National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 90-02937 For Claimant, Seth Justman, Tfcanas Butters, Esq. of Cullen & Butters.

N.A.S.D. AWARD NKTICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Thomas J. Peters Leslie J. Schurr Peter A. Lomeo Mary M. Swanson DeArle Masters and Jeffrey J. Salemme Name of pQspnndent ( s ) Princeton Financial Group Anthony J. Pontieri Jerry Frederick Shorthouse Charles Brimble Case Nos, 90-02932 90-03202 91-00066 91-00353 91-00536 91-00537 For Claimants ,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. McCall, Claimant v. CapBay Financial Services, Respondent Case Number: 00-04541 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Stephen Porter, Esq. Whitchead, Porter & Gordon LLP 220 Montgomery Street Suite 1850 San Francisco, CA 94104 Steven Benjamin, Esq. ''• or He 3620 American River Drive Sacntthento, CA 95864 :—:-•

Arbitration N.A.S.U. AWAKLJ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between flame of Claimant Laurence J. Luckman 90-02929 Name of Respondents Prudential Bache Securities, Inc. Glenn Mallof f National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 For Claimant: For Respondents: Gail Whittemore, Esq. of the law firm

N.A.S.D. 2MBBD VKTICSKL AS90CCKTHV OF SECURITIES Tn t-ho Mil 1 «•• eyf +•!*» A¥*rL*-iratH of 90-02924 of , Inc. B. CreaL For Claimant: George G. Mahfood, Esq. of Specter law offices, P.C. For Rfifipondfints: William S. Sttdth, Esq. of Pietragallo, Basic* & Gordon CRSE filed a Stateoait of na-i" on October 17, 1990 and signed a Submission Agreement on October 12, 1990. Respondents Advest, Inc. and Christopher Creal filed a joint S

Arbitration N.A.S.D. AWARD NRTICUAL ASSOCIATION OF In the tfctter of the Arbitration Betucm Name of Jeazmette Akers vs. Case * 90-02919 PadneNetber, Inc. Sean Dillcn National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 f Egg, fran the For Claimant, Jeamette Afcers ("Claimant") , Alan E. law firm of lane & Altznan. For Respond

NJUS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES CEMERS In the Matter of the Arbitration Between JAMES R. TAMER OTHHIA J. TANNER Claimant NASD NO. 90-02916 and FWJCEOTIAL SECURITIES, DC. CHARL£S R. REID SHLURIT1ES, INC. n/k/a Respondents CF PMOTES Claimants James R. Tanner and Cynthia J. Tanner were represented by Michael P. Bishop, Esq. of Bishop, Smith & Bishop, Indianapolis, Indiana. Respondent Prudential Bache Securities,

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x x Donald Wexler x Claimant r x x CASE NO. vs. x 90-02915 x Shearson Lehman Hutton, Inc. x AWARD x Respondent. x x CASE SUMMARY Claimant, Donald Wexler ("Wexler"), alleged that the Respondent, Shearson Lehman Hutton, Inc. ("Shearson")/ mishandled his Keogh account in that Shearson caused the transfer funds to his account to