N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Name of Claimant Patricia Houvouras 89-02959 Merrill Lynch Fierce Fanner & Smith IDC David Furoan, and Gordon 1CK For Claimant: Howard Stern, Esq. of the law firm of Stern, Steiger, Croland, Tanenbaum & Schielke, P.A. For Respondent: Brian F. Amery, Esq. of the law finn of Bressler r Amery & Ross. CASE Statement of Claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Jacob and Marian Futterman ) Claimants ) vs . ) AWARD ) NASD #89-02956 Charles Schwab & Co., Inc. ) Respondent ) - _ _ _ - — -- } SUMMARY O This claim was filed with the National Association of Securities Dealers, Inc. ("NASD") on October 23, 1989. Claimants ' alleaed that Respondent made an erroneous margin call which resulted in the

AAOSO Arbitration ® N.A.S.D. AWARD Nttlonti Association of Securttte* Dealers, Inc. One East Browara Boulevard Suite 1000 NATIONAL ASSOCIATION OF SECURITIES DEALERS ' ***** In the Matter of the Arbitration Between Joseph Baxiva ) ) ) Case No. 89-02954 ) tfenx^of^ResEjDiKtafitJ'sjL ) ) Charles Schwab & Company, Inc. ) Heard before the members of the Arbitration Panel: Joseph L. Caruncho, Esq. Camilla Besold Douglas

NASO N.A.S.D. AWARD Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant t s) Donald E. Massey; Don Massey Cadillac Inc. Don Massey Cadillac, Inc. Revised & Amended Employees' Profit Sharing Plan & Trust Name q£ Respondent (s) PaineWebber, Inc. Michael Alioto National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Case No. 99-02859 Names of Respondents David S. Patrick William M. Harris Fred B. Bear, Jr. First Union Capital Markets Corp. REPRESENTATION OF PARTIES For Sterne, Agee & Leach, Inc. ("Sterne Agee"), hereinafter referred to as "Claimant": G, Wayne Hillis, Jr., Esq. and Erika C. Birg, Esq. of the law firm of Parker, Hudson, Rainer.^ Dobbs, LL

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Georgette Nebulo Claimant(a) vs. 89-02944 Vincent Beatty Respondent(s) AMENDED NOTICE OF ARBITRATION AWARD THIS NOTICE OF ARBITRATION AHARD SUPBRCBDBS THE NOTICE OF ARBITRATION AWARD DATED MAY 21, 1990 CASE SUMMARY Claimant(s) Georgette Nebulo alleged that Respondent(s) Vincent Beatty in violation of an oral agreement failed to provide a

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David L. Jenson Claimant(s) vs. 89-02942 Dean Witter Reynolds, Inc. Respondent(a) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(3) David L. Jenson alleged that Respondent(s) Dean Witter Reynolds, Inc. failed to execute Claimant's sell order on a timely basis. Respondent denies Claimant's allegations. RELIEF REQUESTED Claimant (s) David

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Timothy Sapyta Claimant(s) vs. Allied Capital Group vs. Brian Polan and Linda Gears Respondent(s) NOTICE OP ARBITRATION AWARD 89-02936 CASE SUMMARY Claimant(s) Timothy Sapyta alleged that Respondent(s) Allied Capital Group made material misrepresentations to induce Claimant to purchase securities issued by fraudulent companies. Respondent

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Wayne Mercier vs . James Briggs, Peter Sweeney, and Shearson Lehman Hutton, Inc. Between Claimant Respondents X X X X X X X X X X X X CASE NO. 89-02934 AWARD CASE SUMMARY Claimant, Wayne Mercier ("Mercier"), alleged that Respondents, Shearson Lehman Hutton ("Hutton"), James Briggs ("Briggs") an

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Ronald A. Larson Claimant(s) NOTICE OP ARBITRATION vs- AWARD 89-02932 Allied Capital Group, Inc. VS. John DeMeo Respondent(s) CASE SUMMARY Claimant(s) Ronald A. Larson alleged that Respondent(a) Allied Capital Group, Inc. committed an unauthorized transaction with respect to Claimant's account. Respondent(s) Allied Capital Group- denied Claima