INDUSTRY M.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Prudential Securities Incorporated 93-01126 Name of Respondent Robert J. Torkelson C ASK In a claim filed with the National Association of Securities Dealers, Inc. on March 23, .1993, Claimant Prudential Securities Incorporated by and through theiF counsel Helen K. Beakett of Siegan Barbakoff & Gombeig, Chicago, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) International Assets Advisory Corp. 93-01125 Name of Respondent(s) Chris Kyriacis REPRESENTATION For Claimant, International Assets Advisory Corp. ("International"): Robert Miller, Esq. of Miller and Grace, P. A. For Respondent, Chris Kyriacis ("Kyriacis"): Patrick Davis, P.A. of Clearwater, Florida. CASE INFORMATION

____ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Gerald E. Patchen vs. NASD #93-01123 Name of Respondents First Sierra Investment Company, Inc. Martin C. Smith For Claimant: Robert A. Buchman, Esq., King, Shapiro, Mittelman & Buchman, Lafayette, California For Respondent: Theodore Phillips, Esq., Phillips, Greenberg, Strain & Hauser, San Francisco, California Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Betty Rose Gonzales Claimant, Vs. Jefferson Pilot Securities Corp., and Andrew P. Weis Respondent. Case Number: 00-03603 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimant, Betty Rose Gonzales ("Gonzales")- Richard Nervig, Esq., of the firm Nervig & Vorndran, L.L.C., Englewood, Colorado. Respondent, Jefferson Pilot Securities Corporation, ("J

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of James J. and Mary A. Marks 93-01121 Name of Respondents Keith Dunton Hamilton Investments, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1993, Claimants James J. and Mary A. Marks, who appeared Pro Se, alleged that on December 3, 1991 Claimant James J. Marks met

03-21-1934 64:09PM FROM HflSD flrbitration'Chicago TO 12128584141 P.02 NJLSJX AWAid) NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of roe Arbitration 'Between Qf Claimant lUnda K.Y. Cottingham and 93-01120 Name nf Respondent Prudential Securities, inc. OF PARTIES Ilinda K.Y. Cottinghaia ("Claimant") was represented by James D. Jameson, Esq., Austin, Texas. Prudential Securities, Inc. ("Respondent") was represented by Don

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leslie and Priscilla M. Pearce 93-01117 Name of Respondents M.H. Meyerson & Co., Inc. Thomas T. Heichakowski CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23, 1993, Claimants Leslie & Priscilla Pearce, who appeared Pro Se, alleged that Respondent Thomas T. HerchakowskL, of the Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfsl Richard and Joanne Agro 93-01113 Name of Respondent s) Dean Witter Reynolds, Inc. Larry Sheffield REPRESENTATION For Claimants, Richard and Joanne Agro ("the Agros"): Mark A. Tepper, Esq. of the law office of Mark A. Tepper, Esq., Hollywood, Florida. For Respondents, Dean Witter Reynolds, Inc. ("Dean Witter") and Larry S

12-1.7-1993 11:19PM FROM NftSD flrb it rat ion/Chicago TG 121285G4141 P.01 ZT.JUS.D* Afisoeiarioff OF sfietmrnga G* Tarelanark corporation : Httited IirvesLtbrs Management Torcbmarte Developdieot . Corporation Uaiueci iiiveators Real sstace. Waddell & Reed, Iiic* Corporal ion For Claimant: Dennis E. Sgaa r Esq,, of Kansas City, Missouri. For Respondents: w* perry Brandt^ Ssq., of Stinson, Mag & Fisaell, F.C-, Kansas City^

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between 93-01106 Arnold Stanton Lustig Claimant AWARD OF ARBITRATORS vs. Wheat First Securities, Inc. James T. Donley, Jr. Robert Kaveny Respondent The undersigned panel of three Arbitrators, sitting in Pittsburgh, Pennsylvania, heard the subject case in seven (7) sessions, consisting of two (2) sessions on Monday, February 14, 1994; two (2) sessions