N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Donald R. & Dorianne Mitchell and 92-02243 Name of Respondents Consolidated Investment Services, Inc. Norman P. Rounds, Randy Romero and Ronald D. Smits RJEPRESEOTATION OF PARTIES Claimants were represented by William D. Nelson, Esq. of Robinson, Waters, O'Dorosio and Rapson, Denver, Colorado. Respondents Consoli

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Anne Fossey (Fretland) 92-02242 Names of Respondents Titan Value Equities Corp. Robert Keats REPRESENTATION Claimant, Mary Anne Fossey was represented by Bruce Pearson of Fargo, North Dakota. Respondents, Titan Value Equities Corp. and Robert Keats were represented by Thomas W. McCann, Esq. of Brown & Bain, Phoenix

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Michael R. Difate Case# vs. 92-02241 Name of Respondents Yankee Financial Group, Inc. Richard Kresge For Claimant: Gerald E. Marcus, Esq. For Respondent: Thomas J. McCabe, Esq. CASE INFORMATION Statement of Claim filed: July 7, 1992. Claimant's Submission Agreement signed on: June 26, 1992. Statement of Answer fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEOJRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne Marie Feaiey vs. 92-02239 Name of Respondents Kober Financial Corp. Kober Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7. 1992, Claimant Anne Marie Feaiey, who appeared Pro Se, alleged that Respondents Kober Financial Corp. and Kober Corporation effected an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name nr Claimant Charles DeLorean 92-02238 NarneofResoQnclent Shearson Lehman Brothers. Inc. REPRESENTATION For Claimant Charles DeLorean ("Claimant"): John M. Manos. of Manos &. Company. For Respondent Shearson Lehman Brothers ("Shearson"): Robert N. Rapp, of Calfee. Halter et ai. CASE INFORMATION Statement of Claim filed: July 6. 1992

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Namei of Claimants Ken Frankel, Individually and as Custodian for Samantha Rae Frankel and Joanne Frankel Case No. 98-04215 Names of Respondents CISC World Markets Corp. Abbott Lee Glasser Robert Bruce Hord, Jr. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Ken Frankel, individually and as custodian for Samantha Rae Frankel and J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JEROME and SANDRA LIEBERMAN, ) Claimants, ) ) Case /89-OC243 vs • ) Award SHOCHET SECURITIES, INC., > Respondent. ) Heard before the members of the Arbitration Panel: Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on January 26, 1989. The hearing was conducted in Fort Lauderdale. Florida on October 2, 3 and 5, 1989

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Estate of Hulda V. Bonestell, Claimant vs. Herbert M. "Skip" Harrison and Prudential Securities, Inc., Respondents. Case Number: 99-03231 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Estate of Hulda V. Bonestelf, hereinafter referred to as "Claimant"; Robert E. Arnold III, Esq. and Laurence P. Horan, Esq., Horan Lloyd, Karachale, Dyer, Schwartz,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants K.W. Brown & Company Kenneth W. Brown 92-02682 Name of Respondents Gary, Marlene & Benjamin Fohrman, JTWROS REPRESENTATION For Claimants, K.W. Brown & Co. ("Brown & Co.") and Kenneth W. Brown ("K.W. Brown"): Russell L. Forkey, Esq., Deerfield Beach, Florida. For Respondents, Gary Fohrman, Marlene Fohrman and Benjamin Fohrm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Gecsedi, Helga Gecsedi, Joseph Gecsedi IRA, and Modern Sweaters Manufacturing Company, Inc. (Claimants) vs. Morgan Stanley Dean Witter, Inc., Joseph Monaco, and Anthony Ferraro (Respondents) Case Number: 05-00105 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Joseph Gecsed