N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bert Engel 94-02190 Name of Respondents Mark D. Baldinger CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1994, Claimant Bert Engel, who appeared Pro Se, alleged that Respondent Mark Baldinger ("Baldinger") purchased 1700 Information Management Technologies, Inc. warrants

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Juliette Kleinman and Justin Kleinman vs. Case No. 94-02241 Consolidated with Name of Respondents Case No. 94-04250 Gruntal & Co. and Donald Giantonio REPRESENTATION For Claimants Juliette Kleinman ("Ms. Kleinman") and Justin Kleinman ("Mr. Kleinman") (collectively "Claimants"), Harold I. Geringer, Esq. from the law of Geringer & Dolan located in New Y

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Juliette Kleinman and Justin Kleinman vs. Case No. 94-02241 Consolidated with Name of Respondents Case No. 94-04250 Gruntal & Co. and Donald Giantonio REPRESENTATION For Claimants Juliette Kleinman ("Ms. Kleinman") and Justin Kleinman ("Mr. Kleinman") (collectively "Claimants"), Harold I. Geringer, Esq. from the law of Geringer & Dolan located in New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between David K. Hayes 94-02189 Name of Respondents Franklin-Lord. Inc. Robert Arthur Bradley T. Shaw CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 10, 1994, Claimant David K. Hayes, who appeared Pro Se, alleged that Respondents Bradley T. Shaw ("Shaw"), Robert Arthur ("Arthur") and Franklin-Lord, I

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Adol Theo Owen-Williams, Jr 94-02187 Name of Respondent^ Merrill Lynch Pierce Fenner & Smith Inc REPRESENTATION The Claimant appeared pro se. For Respondent Merrill Lynch, Pierce, Fenner and Smith, Inc. ("Merrill Lynch"): Kathleen Pontone, Esq. of the law firm of Miles and Stockbridge, Baltimore, MD. CASE INFOR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert E. Burke 94-02174 Name of Respondent^ Lew Lieberbaum & Co. Christopher McMurray Sheldon Lieberbaum CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 9, 1994, Claimant Robert E. Burke, Who appeared Pro Se, alleged that Respondents Lew Lieberbaum & Co., Inc. ("LLC"), Ch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tK- matter of the Arbitration Between Name of Claimant Bradley C. Weddon NASD Arbitration No.94-02169 Name of Respondents Cruttenden & Company Walter C. Cruttenden, III REPRESENTATION For Claimant: Glen R. Mozingo, Esq., Mozingo & Price, Newport Beach, California For Respondents: John R. Loftus, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Sue Kipling Isbell and NASD Case Number 94-02162 Names of Respondents Oppenheimer & Company, Incorporated and Victor F. Wratten REPRESENTATION OF PARTIES Claimant, Sue Kipling Isbell was represented by Gregory N. Jones, Esq. located in Houston, Texas. Respondents, Oppenheimer & Co., Inc. and Victor F. Wratten were represented

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03156 Marcia A. Hulbert, Claimant vs. Edward D. Jones & Co., Reva J. Sorber and Christine P. McGirr Respondents. ATTORNEYS Claimant, Marcia A. Hulbert, appeared Pro Se, Auburn, Indiana. Respondents, Edward D. Jones & Co., Reva J. Sorber and Christine P. McGirr, appeared through their in-house counsel, Kimberly G. Anderson, Esq. St. Louis MO. DATE FILED: June 14, 2001 CASE SUMMA

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between ~~ Names of Claimants Howard and Joanne Hughes 94-02158 Names of Respondents Sigma Financial Corp. Jerome S. Rydell Stephen Donaldson William J. Lynch, ffl W.S. Griffith & Co., Inc. Names of Third-Party Respondents Brian J. Sheen Sheen Financial Resources, Inc. REPRESENTATION For Claimants Howard and Joanne Hughes ("