N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Dolores Gootkin NASD Arbitration No. 93-03686 Name of Respondent Andrew Geller REPRESENT ATTON For Claimant: David Liebrader, Esq., Investors Arbitration Services, Inc., Woodland Hills, California For Respondent: Robert H. Logan, Esq., and Lauren S. Forbes, Esq., Keesal, Young & Logan, Long Beach, California.

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between JOHN M. WEAVER. Claimant, v. NASD No. 93-2889 ATLANTA-ONE, INC., Respondent. Representation For Claimant: Jules Federman of Investors Rights Association and Dennis Merenbach. Esq., Santa Barbara, CA For Respondent: Thomas Blodgett, Esq. of Atlanta-One, Inc.. Irvine, CA Case Information Statement of Claim filed: July 16. 1993 Claimant's Submi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE:99-02673 Martin Schmall, claimant vs. Merit Capital Associates, Inc., and Steven Mense, respondents. ATTORNEYS: Claimant appeared Pro Se., Brooklyn, NY For Respondents Merit Capital Associates, Inc., and Steven Mense ("Respondents"), Robert Fitzpatrick, Esq. in-house counsel for Merit Capital Associates, Inc. DATE FILED: June 11, 1999 CASE SUMMARY: Claimant al

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Seymour Schneider 93-02297 Name of Respondents Henry J. Grodzins Stoever, Glass & Co., Inc. REPRESENTATION For Claimant Seymour Schneider ("Claimant"): he appeared pro se. For Respondents Henry J. Grodzins ("Grodzins") and Stoever, Glass & Co., Inc.: Thomas Conniff, Esq. of the law firm of Kusack & Styles. CASE INFORMAT

N.A^Sjp. AWARD N[ATJQNAL ASSOCIATION QF SECTOTTTE5 OSALERg . I^C.__ In the matter of the Arbitration Between Name of Claimant (s) Lea Stalmaster, individually, as Trustee of the Morse-Stalmaster Family Trust and of the Terlea Productions Retirement Trust, and as Custodian of the Lea Stalmaster Special Account, and Terrell Clark Morse, individually, and as Trustee of the Morse- Stalmaster Family Trust and of the Terlea Productions Ret

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Bonnie Ott Award #93-01767 Name of Respondents Craig Medoff Brian Gregory McGowan Jonah Rosenblatt First Madison Securities Churchill Securities Hercules Capital Inc. Northern Investments Inc. Allied Securities REPRESENTATION For Claimant, Bonnie Ott ("Claimant") Arthur Bamett, Esq., from the law firm

AU.S.JX AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of (he Arbitration Between Anne W. Ford NASD Arbitration No,92-0390S nf Kidder, Peabody & Co., Inc. For Claimant: Read H. Bement, Esq., San Fnnciaco, California For Respondent: William H. PheJps, Etq. f Kidder, Petbody & Co., Lie., Lot Angeles, California Statement of Claim filed: November 17, 1992 Claimant's Submiaaion Ag r M > inf > n

BINDER COPY Award NASD Dispute Resolution In the Matter of the Arbitration Between: Mary Rose Sigmen, Claimant v. Serafin P. Aquino and Merrill Lynch, Pierce, Fenner & Smith, Inc., Respondents Case Number: 02-04477 Hearing Site: Seattle, Washington Nature of Dispute: Customer v. Associated Person and Member Firm REPRESENTATION OF PARTIES For Claimant: F. Mike Shaffer, Esq. Gordon, Thomas, Honeywell, Malanca, Peterson, and Daheim LLP Taco

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04148 Scott M. Rosen, claimant vs. Datek Online Financial Services, respondent. ATTORNEYS: Claimant appeared pro se, Balilago, Angeles City, Philippines. For Respondent appeared Usman S. Mohammed, Esq., of the firm Jones, Bell, Abbott Fleming & Fitzgerald, Los Angeles, CA. DATE FILED: July 16, 2002 CASE SUMMARY: Claimant alleged that respondent misrepresented facts regarding his account.

BINDER COPY Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Massoud Sahami, Claimant v. Newpoint Securities, LLC and John Farahi, Respondents Case Number: 02-03334 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Thomas G. Best, Esq. Law Offices of Thomas G. Best San Francisco, California For Respondents: Steven L; Mi