NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE; #00-01078 SunAmerica Securities, Inc., claimant vs. Alvin Patrick Vaughn, respondent. ATTORNEYS: For Claimant appeared in-house counsel, Edwin Barkel, Phoenix, AZ Respondent appeared Pro Se, Silver Spring, MD DATE FILED: March 10, 2000 CASE SUMMARY: Claimant alleged that respondent owed unearned compensation with respect to improperly handled transactions in the Boston Capital Direct

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Patricia Horn of Respondents NASD Arbitration No.92-01185 Merrill Lynch, Pierce, Fenner & Smith Bateman Eichler, Hill Richards REPRESENTATION For Claimant: Ellen R. Rosen, Esq., Simke, Chodos, Silberfeld & Anteau, Inc., Los Angeles, California For Respondent Merrill Lynch: V. James Mann, Esq., Merrill Lynch, Pierce,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara Kalmus, David Kalmus et al. 92-01183 Name of Respondents Shearson Lehman Brothers, Inc. Evan Katz REPRESENTATION For Claimants Barbara Kalmus and David Kalmus, individually and as custodians for Perry Kalmus, Daryn Kalmus and Oren Kalmus (Claimants"): Thomas D. Giachetti, Esq. of the law firm Stark & Stark. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of CJaimajat Douglas J. Cotton vs. NASD #92-01180 Name of Reqpqndentq Capital Analysts, Inc. Edward Williams For Claimant: Paul W. Thomas, Esq., Carlsbad, California. For Respondents: George M. Garvey, Esq., of Munger, Tolles & Olson, Los Angeles, California. CASE INFORMATION Statement of Claim filed: April 3, 1992 Claimant's S

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASH #92-01177 AWARD In the Matter of the Arbitration Between Gretchen Pasternak Claimant vs. Shearson Lehman Hutton, Inc. Paul Warehall Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 3, 1992, Claimant Gretchen Pasternak by and through her representative Michael L. Paule of Investors Arbitration Services, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Donald Napier 92-01172 Name of Respondents Mark Goldsmith Robert Blatt Eugene Muller REPRESENTATION For Claimant: Linda McCarthy, Esq. and John Profiling, Esq. of Profiling & Hanley. For Respondent: David E. Robbins. Esq. of Kaufmann Gilden & Carlin. CASE INFORMATION Second Amended Statement of Claim filed: Janu

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES In the Matter of the Arbitration Between Name of Cl31injUU(5) Robert N. Whitestone NASD Arbitration No.92-01171 Name of Respondents) Dean Witter Reynolds, Inc. Kent Sueinnicht For Claimant: Robert L. JJtehfield, Jr., Esq., Grass Valley, California For Respondents: Janet T. Love, Esq., Dean Witter Reynolds, Inc., San Francisco, California CASE INFORMATION Statement of Claim filed

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant* si nj jni ip A.G. Edwards &. Sons. Inc. 92-01170 Nanie of Respondent! s) James Shelton Long REPRESENTATION For Claimant A.G. Edwards & Sons. Inc.: Michael Gates. Esq.. in-house counsel at A.G. Edwards & Sons. Inc.. St. Louis. Missouri. For Respondent James Sheiton Long: John B. Finch. Esq.. iole practitioner. Raleigh. NC.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant/^) Linda Rydel Case No. 92-01167 Name of Respondents) Andover Securities, Inc. Estate of Sidney P. Griffin, Sr. Griffin Financial Group REPRESENTATION For Claimant, Linda Rydel ("Ryder): Philip Snyderburn, Esq. of Snyderbum, Rishoi and Swann. For Respondent, Andover Securities, Inc. ("Andover"): Guy Bums, Esq. of Jo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dr. Emilio Sarabia, Trustee. HTC Dentistry Profit-sharing Plan 92-01165 Name of Respondents Shearson Lehman Brothers, Inc.; Drexel Burnham Lambert, Inc.: Smith Barney Harris Upham & Co., Inc.; Leonard Edward Kowitz: Roberto Villani REPRESENTATION For Claimant: Dr. Emilio Sarabia, Trustee, HTC Dentistry Proflt-Sharin