N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Cresvale International Inc. 93-02188 Name of Respondent Alexander Langel REPRESENTATION For Claimant Cresvale International Inc. ("Cresvale"): Joseph M. Pastore, HI, Esq. of the law firm of Kelley Drye & Warren. For Respondent Alexander Langel ("Langel"): no representative appeared for Langel at the hearing. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Betty Feldstein Name of Respondents Litwin Securities, Inc. Harold Litwin Case No.93-02171 REPRESENTATION For Claimant, Betty Feldstein, ("Feldstein"): Mark Raymond, Esq. of Tew & Garcia-Pedrosa, Miami, Florida. For Respondents, Litwin Secruties, Inc. ("LSI") and Harold Litwin ("Litwin 1 *): Scon M, Bernstein, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Robert G. Dingey and Mary Alice Dingey Name of the Respondent. Hibbard Brown & Company, Inc., 93-02164 Representation For the Claimant Robert and Mary Alice Dingey ("Claimants") : Ronald D. Barber, Esq. of Straussburger Mckenna Gutnick & Potter, of Pittsburgh, Pennsylvania. For the Respondent Hibbard Brown & Company, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Vivian Mondello 93-02150 Name of Respondents Shearson Lehman Button, Inc. Taylor B. Chadsey, Jr. REPRESENTATION Claimant, Vivian Mondello ("Mondello"), was represented by Harry W. Haskins, Esq., Saiasota, FL. Respondents, Shearson Lehman Brothers ("Shearson") and Taylor B. Chadsey, Jr. ("Chadsey"), were represented by A

MPY-10-1994 13 = 02 FROM NflSD-RRBITPflTIQN-CNICflGO TO 12128584141 P. 02 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In tfie Matter of the Arbitration Between Name of Claimant Norman L. Pasnow and 93-02148 Name Shearson Lehman Brothers! Inc. and George P. Laras^Karageorgis i ttEPRESKNTATTOV QV PABTTBS Noraaa L. Pasaow ( < t CLimaiit' T ) was represented by Michael L. Blake, Esq M Denver, Colora

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Michael F. and Shirley Doherty, Debra Doherty, Michelle Noel and Conor McG rath and Names of Respondents Gruntal & Co., LLC, Matthew D. Mitchell Wachovia Securities, Inc. f/k/a Wheat First Union and f/k/a Wheat First Securities and Prudential Equity Group, LLC. Case Number: 00-03697 Hearing Site: Houston, Texas NATURE OF DISPUTE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gary J. and Linda K. Stefani 93-02145 Name of Respondent USAA Investment Management Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1993, Claimants Gary and Linda Stefani, who appeared Pro Se, alleged that Respondent USAA Investment Management Company failed to provide

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Craig Goshaw 93-02141 Name of Respondents Hibbard Brown & Co., Inc. Kevin Thomas Johnson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 28, 1993, Claimant Craig Goshaw, who appeared Pro Se, alleged that in late April to early May 1992 he received an unsolicited phon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Pat Wilson 93-02136 Name of Respondent Richard A. Laviola REPRESENTATION For Claimant Mary Pat Wilson: David Crystal, n, Esq. of the law firm of Collier, Cohen, Crystal & Bock located in New York City, New York. For Respondent Richard Laviola: Daniel Torchio, Esq. of the law firm of Kalian & Torchio, P.C. located in Ne

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant James McCauley 93-02131 and Name of Respondent Prudential Securities, Inc. REPRESENTATION OF PARTIES Claimant represented himself at the hearing. Respondent was represented by Peter Byer, Esq. of Prudential Securities, Inc., New York, New Yoik, at the hearing. CASE INFORMATION The Statement of Claim was filed