AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Claimant/Counter-Respondent Carl W. Busch vs. Respondent/Counter-Claimant Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. Case Number: 03-04521 Hearing Site: Oklahoma City, Oklahoma NATURE OF THE DISPUTE Associated Person v. Member REPRESENTATION OF PARTIES Carl W. Busch ("Busch" or "Claimant") was represented by Joan A. Renegar, Esq., Korn

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: First National Bank & Trust of Muskogee, (Claimant) vs. FFP Securities, Inc., Jack Crow, and Rebecca Tidmore, (Respondents) vs. BOSC, Inc. (Third-Party Respondent). Case Number: 99-03018 Hearing Site: Oklahoma City, Oklahoma (Consolidated with FFP Securities. Inc., Jack Crow and Rebecca Tidmore vs. First National Bank & Trust of Muskogee; Case Number 99-03161) REPRESENTATION OF PARTIE

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant rase Number- 00-01069 Leonard A. Kraus, Inc. Name nf the Respondents Hearing Site: Baltimore, MD Gaines, Berland Inc. James A. Frisone Arthur Coffee Nature of the Dispute: Customer vs. Member and Associated Persons. RFPRRSFNTATTON OF PARTTF.S Claimant, Leonard A. Kraus, Inc. ("Kraus"), hereinafter referred to as "Claimant", was represe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Phillip A. and Clemencia A. Jackson Case No. 00-001 17 Namfij^f I R pgrum H pn^ Edward J. McCune James S. Borelli E. M. Holdings Corporation Lorette Farris Fairchild Financial Group, Inc. Hearing Site- Washington, D.C. RFPRFSFJVTAf TON OF PAPTTVS Claimants, Phillip A. and Clemencia A. Jackson, hereinafter collectively referred to as "Claimants": Wendu Me

N.A.S.D. AHARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Name of Claimant[sj \ Earl and Sharon Dorfman ) ) Case NO. 90-00601 Janes A. Barry ) Barry Financial Service ) Asset Management Corporation ) Heard before the members of the Arbitration Panel: Mryon CXinay, Esq. Public Elizabeth L. Clark Public Robert H. Hagan Industry Claimants, Earl and Sharon Dorfraan ("Dorfman"), were represented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) ) Name of Claiinant(3l ) ) Frederick J. Keitel, III ) Dorothy Reitel ) ) Case No. 99-02692 ^tf si Smith Barney Harris Upham & Co. , Inc. ) George B. Malin ) Claimants, Frederick J. Keitel and Dorothy Keitel ("the Keitel'3"): were pro se. For Respondents, Smith Barney Harris Upham & Co., Inc. ("Smith Barney") and George Mal

NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MICHAEL and MICHELLE DUBARRY NIXON, ) Claimant*, } ) Case J89-00855 vs. Award JOSEPHTHAL & CO., INC.. SHELDON BERMAN and BRUCE ARONSON, Respondents. Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Mr. Nathan Wesler Mr. Jerrold Glass CASE SUMMARY This claim was filed with the NASD, Inc. on March 20, 1989. The

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hazel and William Hopkins 95-05415 Name of Respondents A.B. Culbertson & Company Charles W. Burks CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15, 1995, Claimants Hazel and Williams Hopkins ("H. Hopkins"), through their representative, Barbara L. Wolf, Esq., located in

NJV.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Brian and Lorraine O'Connor 95-06059 Name of Respondents Buttcrawood Securities, Inc. Edward A. McKay, Jr. Lawrence J. Rosen SalWaisbrut Cantella & Company UFPRft^ENTATTQK For Claimants: Richard Groner, Esq. of Groner & Scfaieb, Sarasota, FL. Respondent Lawrence J. Rosen appeared pro se. For Respondent Cantella

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Popular Securities, Inc. 98-04909 Names of Respondents PaineWebber, Inc. Antonio Herrero Luis Herrero REPRESENTATION For Claimant: Ricardo F. Casellas, Esq. of Fiddler, Gonzalez & Rodriguez, LLP, San Juan, PR. For Respondents PaineWebber, Inc. ("PaineWebber"), Antonio Herrero and Luis Herrero ("Registered Representatives"): Sara Soto, Esq. of Fowler