N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marvin E. Lowenhardt 95-00340 Name of Respondent Fidelity Investments REPRESENTATION For Claimant, Marvin Lowenhardt ("Lowenhardt") pro se. For Respondent, Fidelity Investments ("Fidelity") David I. Gellen, Esq. of Kutak Rock, Atlanta Ga. - CASE INFORMATION ' v~ w *- Statement of Claim filed January 23, 1995

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Frank Aldrich Gail Aldrich vs. NASD Arbitration No. 95-00339 Name of Respondent A.G. Edwards & Sons, Inc. Frank Amelio Thomas Green REPRESENTATION For Claimants: Paul J. Delmore, Esq., Edwards, White & Sooy, San Diego, California For Respondents A.G. Edwards and Thomas Green: Jeff Jamieson, Esq., A.G. Edwa

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants William B. and Verna Mischke 95-00337 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Al Crake REPRESENTATION Claimants William and Verna Mischke ("Claimants") were represented by David Herrmann, Esq. , Law Offices of Randal J. McDowell, Jenkintown, PA Respondents Merrill Lynch, Pierce, Fenner & Smith, In

-'—OCT. REGULPTION FL NO.416 P. 5/7 NASD CASE NO. 95-00336 N.A.S.D. AWABD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Banco Progreso Internacional De Puerto Rico Name of Respondents Prudential Secvuiiles Incorporated and Michael P. Schnabel REPRESENTATION For Claimant; Richard E, Brodsky* Esq. of Richard E. Brodsky, P.A., Miami, Florida and Scott L. Warftaan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: M. Jackie Carter v. A.G. Edwards & Sons, Inc. Case Number: 00-03801 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, M. Jackie Carter ("Claimant"): Jeffrey J. Scott, Esq., Scott & Associates, P.C., Denver, CO. Respondent, A.G. Edwards & Sons, Inc. ("Respondent"): Mike Naccarato, Esq., A.G. Edwards & Sons, Inc., St. Louis, MO. CASE INFORMATION

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD In the matter of the Arbitration Between Name of .Claimant fsl Louise Lenhart v. Name of Respopdentfs) Smith Barney, Inc. Thomas G. Henry REPRESENTATION For Claimant: For Respondents; Neil J. Seller, Esq., Las Vegas, Nevada Ellen Slipp, Esq. Smith Barney, Inc. New York, New York CASE INFORMATION Statement of Claim filed: January 23, 1995 Claimant's Submiss

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Eugen & Patricia Alexandrescu 9500330 Name of RespondentCst A.S. Goldmen & Co., Inc. SecuS n* i0ctau " j1 ' »' Stephen Kaplan S REPRESENTATION The Claimants appeared pro se. For Respondents A.S. Goldman & Co., Inc. arid Stephen Kaplan; appeared Phbebe A. Wilkersori, Esq. of thelawfirm of Chadbourne &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Edwin J. Kliegman 95-00328 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimant Edwin J. Kliegman ("Kliegman"), who appeared Pro Se, alleged that on February 23, 1994 he contacted Respondent Fidelity Brokerage S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant's) Brian P. and Wanda D. Poimboeuf 95-00327 Name of Respondent(s) D. Blech & Company, Inc. David Blech CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 23, 1995, Claimants Brian P. and Wanda D. Poimboeuf, who appeared Pro Se, alleged that Respondents David Blech and D. Blech

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Commercial Bank (Grand Cayman), Ltd. 95-00320 Names of Respondents PaineWebber, Inc. Wall Street Securities, S.A> Arturo Tapia REPRESENTATION For Claimant, Commercial Bank (Grand Cayman), Ltd. ("Commercial Bank"): William R. Ponsoldt, jr., Esq., of Kohl, Metzger Spotts, P.A., Stuart, Florida. For Respondents, PaineWebbe