N . A . S . D . NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Case Number 93-01493 David A. Wood, Claimant, v. P.rudential Securities, Inc. and Howard T. Gierling, Respondents. REPRESENTATION; Stanley Yorsz, Esquire and Buchanan Ingersoll, P.C., for Claimant Larry K. Elliott, Esquire and Cohen & Grigsby/ for Respondents, Prudential Securities, Inc. and Howard T. Gierling CASE INFORMATION:

: ROH CTV CTR BUS " M HVflTT 10.ZE.L993 15:54 P. N.A.S.D. AWAHD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Clairnqnt Singleton Sheet Metal Works, Inc. and 93-01491 Name of Resnonri^r Prudential Securities, Inc. REPRESENTATION OF PARTIES Singleton Sheet Metal Works, Inc. ("Claimant") was represented by Linda McMillan, Esq. of Shaw & Quigg, Pueblo, Colorado. Prudential Securities,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kessler Asher Clearing, Inc. 93-01483 Name of Respondents Jeffrey Brooks Securities, Inc. National Financial Services Jeffrey Brooks CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 14, 1993, Claimant Kessler Asher Clearing, Inc., through its representative Tim Vincent, Senior

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rosalind Siegelman TTEE U/A DTD 12/31/85 93-01479 Name of Respondent A.F. Best Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 14, 1993, Claimant Rosalind Siegelman, TTEE, who appeared Pro Se, alleged that Respondent A.F. Best Securities, Inc. throu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Kenneth F. Collins 93-01478 Name of Respondents Raymond, James & Associates, Inc.; Hart Securities, Inc.; John Husbands REPRESENTATION For Claimant: Kenneth F. Collins ("Collins") was represented by Geoffrey H. Bracken, Esq. of Sewe & Riggs, Houston, Texas, and Walter T. Weathers, Esq., of Houston, Texas. For Respondent

-^ NJLSJX AWARD NATIONAL ASSOIATION OF SErURlTTFS In tnc matter of the Arbitration Between Nam* if Robbios General Contractors, Inc. NASD Arbitration No. 9341473 Merrill Lynch Pierce Fenner tc Smith, Inc. For Claimant! Ruth A. Lee - Rabbins General Contractors, Inc., - San Francisco, Ca* For Respondent; David J. Romaoski, Esq. - Steinhart 8e Falconer - San Francisco, Ca. Statcnwra of Claim fikcfcApriJ 14, 1993 Claimant's Submission Agreement

JUL-06-1995 16:02 FROM TO 1212B5Q4429 P.BB/16 NJLS.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name &.J. & Jacquelyn D. Walton art 93-01466 All-Tech Investment Group, Inc. and Randall Frakes REPRESENTATION OF PARTIES RJ. & Jacquelyn D. Walton ("Claimants*) failed to appear at the hearing and were not represented by counsel. All-Tech Investment Group, Inc. ("Respondents") was represen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimants Robert M. Goolrick 93-01465 Name of Respondents Shearson Lehman Brothers. Inc. (n/k/a Lehman Brothers. Inc.) REPRESENTATION For Claimant Robert M. Goolrick ("Claimant"): Claimant appeared Pro Se. For Respondent Shearson Lehman Brothers, Inc. ("Respondent"): John E. Jenkins, Associate General Counsel at Lehman Brothers, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants vs. Name of Resondents ^ NASD No. REPRESENTATION For Claimant: For Respondents: A ^ CASE INFORMATION Statement of Claim filed: Claimant's Submission Agreement signed: Statement of Answer filed by Respondents on: Respondents' Submission Agreements signed on - &/< M3. 93-01463 P9

NATIONAL ASSOCIATION OF SECURITIES DEALERS Malcolm E. Erickson 93-01462 of Respondents Lew Leiberbaum & Co., Inc., Bear Stearns Securities Corp., and Howard Hockman. REPRESENTATION OP PARTIES For Claimant at the hearing: Pro Se: For Respondents, Lew Leiberbaum & Co, Inc. and Bear Stearns Securities Corp., at the hearing: Jay Mark Israel, Esq. and Leonard A. Neuhaus, Esq. of Lew Leiberbaum & Co., Inc., Garden City, New York. For Responden