N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between nf ii Marlene (Lopez) Bradley NASD Arbitration No. 92-03256 Nanye of Respondents Wedbush Morgan Securities, Inc. David E. Vargas For Claimant: Lee D. Kersten, Esq. - Eugene, Oregon For Respondents: Marie £. Eaton - Wedbush Morgan Securities, Inc. CASE INFORMATION Statement of Claim filed: September 28, 1992 Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between "" --—••-- Paul J. Cotugao, as Trustee and 92-03209 Merrill Lynch, Pierce, Feonejr & Smith, Inc. Paul J. Cotugno. as Trustee ('Claimant*) appeared pw se. Merriii Lynch, Pierce, Fenodr &. Smith, be. ("JSesyombnf ) was lepiesenusd by Charieg L. Hcoctersou, Esq. of Merrill Lynch, Pierce, Fenner & Smilk, Inc., New York, New York. CASK INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALFRS In the Matter of the Arbitration Between Name of Claimants Roy H. Kite Ethivn P. Kite NASD Arbitration No. 92-02998 Name of Respondents Prudential Securities, Inc. Martin A. Klein, in Michael J. Zaccaro For Claimants: Lionel Z. Clancy, Esq. - Beverly Hills, California For Respondents: Patricia A. Fitzpatrick, Esq. - Prudential Securities Inc. - New York, New York CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTIRITTRS DEALERS In the Matter of the Arbitration Between Name of Claimant^ Linda Hinman Name of Respondents ) G. W. Story & Associates, Inc. Daniel Rich Robert Gibson NASD Arbitration No. 92-02963 For Claimant: Mitchell S. Oswald, Esq., Seaman, Seaman & Ostwald, Sacramento, California For Respondents: Stephen F. Boutin^ Esq., Boutin, Lassner, Gibson & Delehant, Sacramento, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Kelli Lyn Met2 No. 92-02955 Name of Respondent Merrill Lynch, Pierce. Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Claimant: Jim T. Priest. Esq. and Dixie L. Coffey, Esq., of McKinney, Stringer & Webster P.C.. Oklahoma City, Oklahoma. For Respondent: Bruce W. Day, Esq. and Rodney J. Heggy, Esq., of Day, Hewett & Federman, Oklahoma City, Oklahoma. CASE IN

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02292 Larry G. Journell, Claimant vs. Cruttenden Roth, Inc., Respondent. ATTORNEYS: For Claimant Larry G. Journell - Sandra L, Malek, Esq., Malek & Malek, Torrance, California For Respondent Cruttenden Roth, Inc. - John R. Loftus, Esq., Keesal, Young & Logan, Long Beach, California DATE FILED: May 18, 1999 CASE SUMMARY; Claimant alleged wrongful advice

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Linda C. Zemel Case# vs. 92-02946 Name of Respondents PaineWebber, Inc. Steven Ewanowski REPRESENTATION Claimant, Linda C. Zemel, appeared without counsel. For Respondents, PaineWebber, Inc. ("PaineWebber") and Steven Ewanowski "(Ewanowski"), Edward P. Degenhardt, in-house counsel at PaineWebber. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECOUTIES DEALERS In the Matter of the Arbitration Between Name of Claimants Dave and Nellie Zack 92-02923 Name of Respondents Scottsdale Securities, Inc.; Rodger Riney For Claimants: Dave Zack and Nellie Zack appeared pro se. For Respondents: Scottsdale Securities, Inc. and Rodger O. Riney were represented by Rodger O. Riney, Scottsdale Securities Inc. CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant INDUSTRY Dunhili Equities. Inc. Case #: 92-02922 Name of Respondent Sandy MasselH. Jr. REPRESENTATION For Claimant Dunhili Equities, Inc.: Evan L. Gordon. Esq. The Respondent did not appear. CASE INFORMATION Statement of Claim filed: August 28, 1992. Claimant's Submission Agreement signed on: August 26. 1992. Th

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Deana Susie Nelson Pratt, individually and as Guardian of Anthony Jack Brewster and Rebecca Michelle Owen, Minors 92-02908 Name of Respondent The Principal/Eppler. Guerin & Turner, Inc., f/k/a Eppler. Guerin & Turner. Inc. REPRESENTATION For Claimant: Deana Susie Nelson Pratt, individually and as Guardian of Anthony Jack