N,A.S.D. AWARD NATIONAL ASSOCIAT73N OF SECURITIES DEALERS In the Matter of ';he A_-;itration Between Name of Claimant Jacqueline .. Brown 90-03407 Name of Respondent G.K. Scott & Co., Inc. REPRESENTATION Claimant, Jacqueline M. Brown ("Brown"), was represented by Morgan W. Bentley who is a sole practitioner. Respondent, G.K. Scott & Co., Inc. {"GKS"), was represented by Harold Geringer of Geringer & Dolan. CASK INFORMATION Statem

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between JULIE KERSHNER Claimant and 90-03405 RftF FINANCIAL CORPORKTICN AND GERALD W. GRDVER Respondents Julie Kershner was represented by Miles M. Gersh, Esq. of Gersh & Danielson, Denver, Colorado. RAF Financial Corporation was represented by Gene R. Thornton, Esq. , and Victor M. Morales, Esq. of Hopper and Kanouff, P. C., Denver, Colorado.

Award NASD Dispute Resolution, Inc. IB the Matter of the Arbitration Between: OLDE Discount Corporation, (Claimant) vs. David A. Sun, (Respondent) Case Number: 99-02221 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, OLDE Discount Corporation, hereinafter referred to as "Claimant": Robert M. Visconti, H & R Block Financial Advisors, Inc., Detroit, ML Previously represented by: Staff Attorney, Aaron L. Kleid, OLDE Discount Corporatio

Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Paul J. Callahan (Claimant) vs. Fleet Boston Robertson Stephens, Inc. (Respondent) Case Number: 00-00990 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Paul J. Callahan, hereinafter referred to as "Claimant": Glenn H. Ripa, Esq., a sole practitioner, New York, NY. Respondent Fleet Boston Robertson Stephens, Inc., hereinafter referred to as "Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between ) Wallace B. and Betty Ann Robinson ) ) ) Case No. 90-03402 ) Name of Dean Witter Reynolds, Inc. For Claimants, Wallace B. and Betty Ann Robinson ("Robinson"): grp. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Melinda Socol Herbst, Esq. of DWR. Statement of Claim filed on: January 3, 1991. Claimants' Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sam Nakis, Harry G. Lake, Arthur Lagadinos and Peter Pavoris, on their own behalf and on behalf of the Order of Ahepa 90-03394 Name of Respondents Shearson Lehman Brothers, Inc. (n/k/a Smith Barney Shearson, Inc.) Janney Montgomery Scott Inc. J.C Bradford & Co. Peter Derzis Peter Poneros Order of Ahepa REPRESEN

N.A.S.D. AWRHD NKTICNAL ASSOCIKnCN OP SECURITIES HE3VLERS In the Hatter of the Arbitration Between Q£ rna< iBant(B) , lac. 90-03392 For dainanti Marie Baton, Esq., Madbuah Morgan Securities, 1000 Wllahlre Boulevard, LOB Angeles, OL 90017 Foe Reepondenti No Stataaaat of Claim filed: NbvoEbar 30, 1990 CDS Octctoear 15, 1990 Stateoeat of AnaMw filed by KMpmdauta cat None filed oat None filed and although duly did not appear afc ^

N.A.S.D. AWARD NKTICHKL ASSOCIATICN OF SHAnti'l'lisS DEALERS In. tne Hatter of the Arbitration Between Robert & LaVergne Benza No. 90*03391 Name of Resprndenta TSxataa Kurfc Long Grove Trading Company Kavanaugh Securities, Inc. FOOT Claimant: Robert Benza Jr. Ftar Respondent Ttooaa Kurt: Thorns RirJe appeared pro se. For Respondent Long Grove Trading Qajpany: Hanas A. Hapldnfl. For Hespoodent ICavanaugh Securities, Inc.: Qtriatcpaer J. B

N.A.S.D. PiKARD MATICNRL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Frank C. Simonetti & Brian SL-nonetti 90-03388 G.K. Scott & Company, Inc. Robert J. Romanelli "or Claimants: Appeared pro se. For Respondent G.K. Scott & Co.: Harold I. Gerinoer, Esq., or" Geringer 4 Dolan. For Respondent Robert J. Ronanelli: Appeared pro se. CTSB Statement of Claim filed: November 29, 1990. Claimant's Submission Agree

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the "Arbitration Between Name of Claimants William B. Bayliss Sally A. Bayliss No. 90-03379 Smith Barney, Harris Upham & Co. Allan E. Schroeder REPRESENTATION OF PARTIES For Claimants: David H. Hutchinson, Esq. of Machulak, Hutchinson, Robertson & Dwyer, S.C. For Respondents: Larry H. Irom, Esq., Vice President, Law Department, Smith Barney, Harris Upham & Co.