N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Simon & Ethel L. Silver 93-02765 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 15, 1992, Claimants Simon and Ethel L. Silver, who appeared Pro Se, alleged that on or about February 5, 1993 they received a "Client Confirmation" info

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) 93-02764 Name of Respondent(s) Nedjat Elghanian REPRESENTATION For Claimant: J. Todd Cook, Esq;, of Bear Steams & Company, New York, NY. For Respondent: Philip Elghanian of New York, NY. CASE INFORMATION Statement of Claim filed: July 14, 1993. Claimant's Submission Agreement signed on: My 14, 1993. Respondent, Nedja

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Hope E. Phipard 93-02761 Name of Resoondent(s) Fidelity Brokerage Services, Inc. REPRESENTATION For Claimant Hope Elizabeth Phipard (Claimant): Louis F. Burke with the law firm of Townley & Updike located in New York City, New York. For Respondent Fidelity Brokerage Services, Inc. (Respondent): Kenneth J. McDo

. ' N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard Merli 93-02760 Name of Respondents McLaughlin Piven Vogel, Inc. Edward Brienza REPRESENTATION For Claimant Richard Merli appeared Steven M. Kramer, Esq. of Steven M. Kramer & Associates, New York, NY. For Respondents McLaughlin Piven Vogel, Inc. and Edward Brienza appeared Ira Cohen of McLaughlin Piven Vogel

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03715 PaineWebber Incorporated, Claimant vs. William E. Nix, Respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardener, Esq., Staten Island, NY. Respondent did not respond to the Statement of Claim. DATE FILED: August 25, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to pay balance due and owing on a forgivable loan. Claim Data Award Data Claim: $6,958.6

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roger and Janet Duncan 93-02757 Name of Respondents Prudential Securities, Inc. Jeff Cornell CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 15, 1993, Claimants Roger and Janet Duncan, through their counsel, Virginia C. Antipole, Esq., of the firm Anderson, Hunter in Everett,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rosalie and Louis Zinn 93-02745 Name of Respondents Legg Mason Wood Walker, Inc. Carol Eisman CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 17, 1993, Claimants Rosalie and Louis Zinn, who appeared Pro Se, alleged that on August 3, 1992 they went to the offices of Respondent

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert W. Bowden 93-02743 Name of Respondent First Hanover Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 13, 1993, Claimant Robert E. Bowden, who appeared Pro Se, alleged that he is the Vice President of Human Resources for Yamaichi International (America), Inc.

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Stanley L. Dembecki, Claimant, v. No. 93-02742 USA Capital Management, Inc., Enrico P. Rusticali, Minton Schmid Scurities, Austin Stone Securities, Inc. f/k/a R. Writer Securities, Inc. Respondents REPRESENTATION OF PARTIES For Claimant: Steven Grossman, Esq., of Investors Arbitration Services, Inc., Woodland Hills, California. For Respondent USA Capital Management, Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants NASD Arbitration Robert M. Gushiken No. 93-02738 Elaine Gushiken v. Name of Respondent Charles Schwab & Company, Inc. REPRESENTATION For Claimants: Connie G. W. Meredith, Esq., Honolulu, Hawaii For Respondent: Richard S. Dangerfield, Esq., Charles Schwab & Company, Inc., San Francisco, California CASE INFORMATION