N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) PaineWebber Inc. 95-00180 Name of Respondents) Ben E. Boren REPRESENTATION For Claimant PaineWebber, Inc.: Scott Ratchick, Esq. and David L. Pardue, Esq., of the law firm of Hunton and Williams, Atlanta, GA. For Respondents Ben E. Boren and Blake Boren: Gerald S. Kline, Esq., Atlanta, GA. CASE INFORMATION Statements

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Albert & Lilybett Zitomer, TTEES, et al. 95-00179 Names of Respondents Prudential Securities Incorporated Kenneth F. Klespies REPRESENTATION For Claimants, Albert & Lilybett Zitomer, TTEES, et al. ("the Zitomers"): Norman Meyers Esq. of Meyers & Bierkan, P.A., Sun City Center. Florida. For Respondent, Prudential Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: William W. Allen (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., William H. Combs, and Christopher G. Cook, (Respondents) Case Number: 00-03787 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant William W. Allen ("Allen"), hereinafter referred to as "Claimant": Nicholas Stevens, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00387 Estate of Mary Kay Taylor and Mary Kay Taylor Trust, Claimant vs. US Bancorp Investments, Inc., Respondent. ATTORNEYS: For Claimant appeared Peter J. Mozena, Esq. Portland, OR. For Respondent, US Bancorp Investments, Inc., appeared in-house counsel Mark S. Reed, Esq., Minneapolis, MN. DATE FILED: January 31, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Merrill Lynch Pierce Fenner & Smith Inc 95-00176 Name of Resoondent(s) Smith Barney Shearson, Inc. Alan Arno REPRESENTATION For Claimant: Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill"), Thomas Loder, Esq. of Rubin and Associates, Paoli, PA. For Respondents: Smith Barney Shearson, Inc. ("Smith Barney") and Alan Arno

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant J.W. Charles Securities, Inc. 95-00173 Name of Respondent Robert J. Solt, Jr. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1995, Claimant J.W. Charles Securities, Inc., ("Claimant"), through its representative and in-house counsel, Charles E. Scarlett, Esq., located in B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James P. Endlich Case No. vs. 95-00172 Name of Respondents Olde Discount Corporation Randall B. Cohen REPRESENTATION For Claimant James P. Endlick a.k.a. James P. Endlich ("Endlick" or "Endlich") appeared Ronald G. Figler of Lesh, Casner & Miller located in Canton, Ohio. For Respondents Olde Discount Corporation ("Olde"

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David A. Gatz 95-00170 Name of Respondent Olde Discount Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 12, 1995, Claimant David A. Gatz ("Claimant"), through his representative and counsel, Thomas E. Greef, Esq., located in Largo, FL, alleged that Respondent Olde D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ray F. Bain 95-00169 Name of Respondent(s) Dean Witter Reynolds Inc. Carlos F. Fernandez CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 11, 1995 Claimant Ray F. Bain, who appeared Pro Se, alleged that Respondent Carlos F. Fernandez of the Respondent firm Dean Witter Reyn

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles Prindeville 95-00168 Name of Respondents Tamaron Investments, Inc. Donald S. Han Timothy L. Thompson Charles F. Kirby REPRESENTATION Claimant Charles T. Prindeville, III ("Claimant 11 ) represented himself. Respondent Donald S. Han ("Han") represented himself. Respondent Timothy L. Thompson ("Tho