N.A.S,D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Emil R. Proska, III and 92-02008 Name of Respondent Brownstone Smith Securities Corp. REPRESENTATION OF PARTIES Emil R. Proska, HI ('Claimant') appeared pro se. Brownstone Smith Securities Corp. ("Respondent*) did not appear at the hearing. CASE INFORMATION The Statement of Claim was filed on or about June 16,1992. Su

N.A.S.D. AWARD NATIONAL ASSOOATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Robert Hedrick and 92-02004 f Resondent Texakoma Financial, Inc. Texakoma Oil & Gas Corporation DeanR. Kennedy Scott Kennedy Richard I. Kennedy OF Claimant was represented by David Westfali, Esq., Dallas, Texas. Respondents Texakoma Financial, Inc., Texakoma Oil & Gas Corporation, Dean R. Kennedy, Scott Kennedy, and Richard Ken

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Mingtar Tsai Claimant CASE #92-02003 AWARD vs. Alexander Gabor & Company, Inc. Alexander Gabor Respondents CASE SUMMARY In a claim filed with the national Association of Securities Dealers, Inc. on June 16, 1992, Claimant Mingtar Tsai who appeared pro se, alleged that Respondents Alexander Gabor & Company and Alexander

V.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Doris Lorraine Feldman NASD Arbitration No. 92-02000 Na.me of Respondent Lloyd Lokka REPRESENTATION For Claimant: C. R. Melton, Arbitration Consultants, Woodland Hills, Ca. For Respondent: Diane A. Irvin, Esq. - Jones, Bell, Simpson & Abbott - Los Angeles, Ca. CASE INFORMATION Statement of Claim filed: June 16, 1992

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leonard Becker and Nancy Becker, Claimants v. Global Crown Capital, LLC and Rani T. Jarkas, Respondents Case Number: 05-04722 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Edward M. Keech, Esq. Fitzgerald Abbott & Beardsley LLP Oakland, California For Respondents: Henry W.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Linda Cruz, Claimant v. A.G. Edwards & Sons, Inc., Tiffany A. DeRuosi, and Rahamin Suares, Respondents Case Number: 03-06308 Hearing Site: Los Angeles, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: William B. Young, Esq. Colling, Gilbert, Wright & Carter Maitland, Florida For Respondents A.G

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Fred Yow, Helen C. Yow, and The Fred Yow & Helen C. Yow Revocable Trust dtd November 28,1995, Claimants v. Morgan Stanley DW Inc. and Robert E. Burpee, Jr., Respondents Case Number: 06-00956 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Eugene Schneider, Esq. Law Offices of Eu

EUA.S.D. REVISED AWAljp NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Maine of Claimant (s1 Robert Maltz, Individually and as Trustee for Abel Industries Profit Sharing and Pension Trust Fund and Judith Maltz Case No. 92-01962 Notes Any reference hereinafter to the Claimants .or any of them will be to Maltz unless otherwise specified in any of the discussions, Name of. Respondent(&) Shearson Lehman B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Corinne Enunendorfer, as Trustee, U/W Ralph E. Emmendorfer, Deed.; Corinne Emmendorfer, as Trustee, FBO Corinne Emmendorfer, Trust dated September 14, 1990; Corinne Emmendorfer; Gary M. Fluchel; Chris D. Fluchel; and Jon B. Huchel 92-01935 Name of Respondents PaineWebber Incorporated; JW Charles Securities, Inc,; Clayt

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Joseph S. Newman Shearson Lehman Brothers Inc. 92-01861 Name of Respondent Gibraltar Securities Co. REPRESENTATION For claimants Joseph S. Newman ("Newman") and Shearson Lehman Brothers Inc. ("Shearson") appeared Anthony Paduano, Esq. of the law firm of Smith Campbell & Paduano, located in New York, New York. For respondent Gibraltar Securities' Co. ("Gibr