N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant D.H. Blair & Company 93-04588 Name of Respondent Stephen Guercio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 3, 1993, Claimant D.H. Blair & Co., Inc. ("Claimant"), who appeared Pro Se, alleged that Respondent Stephen Guercio ("Respondent"), a former employee, failed to rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Dino Vlachos 93-04578 Name of Respondentf s') Bradford (J. C.) & Co. Gregory Scott Pope Richard Miller REPRESENTATION For Claimant: J. Pat Sadler,Esq. of Sadler & Associates, Atlanta, GA. For Respondents: Claude O. Ramer II, Esq., Assistant General Counsel, J.C. Bradford & Co., Nashville, TN. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants! Paul D. Lundblad 93-04575 Name of Respondent s) Merrill Lynch Pierce Fenner & Smith Inc Michael E. Walsh REPRESENTATION For Claimant: David J. Myers, Esq. of Atlanta, GA. For Respondents: Jonathan A. Schorr, Esq: in-house counsel at Merrill Lynch Pierce Fenner & Smith, Inc. CASE INFORMATION Statement of Claim file

IN THE ARBITRATION BEFORE NASD DISPUTE RESOLUTION, INC. KIRKPATRICK, PETTIS, SMITH, POLIANINC., NASD Case No.: 01-02819 v. CONSENT AWARD RICHARD C. HILL, JR., ) Respondent. ) REPRESENTATION OP PARTIES Claimant was represented by: Respondent was represented by: James M. Bausch Cline, Williams, Wright, Johnson & Oldfather, L.L.P. 1900 First Bank Building 233 South 13th Street Lincoln, Nebraska 68508 S. Scott Las

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00903 Chester Derek Intervivos Trust, claimant vs. The Boston Group, respondent. ATTORNEYS: Claimant appeared through its Trustee, Chester J. Derek, Saginaw, MI. For Respondent appeared Eric S. Hutner, Esq., New York, NY. DATE FILED: March 2, 2000 CASE SUMMARY: Claimant alleged that respondent failed to provide suitable investment advice and purchased Sound Source Interactive Warra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan Brunwasser Joan Brunwasser, C.F/Yael R. Brunwasser Joan Brunwasser, C.F/Ariella Brunwasser Prudential Securities C.F/Joan Brunwasse Prudential Securities C.F/Rafi Brunwasse Rafi Brunwasser C.F/Hanifen Imhoff Unif. 93-04559 Name of Respondent D.H. Blair & Company, Inc. Representation of Parties Claimants Joan B

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jordon Kreiner 93-04557 Name of Respondents Kevin Cesioio O'Dowd The Robinson-Humphrey Company, Inc. REPRESENTATION For Claimant, Jordan Kreiner ("Claimant"), appeared Mark Pearlstein, Esq., from Stuart D. Fiel & Associates located in Philadelphia, PA. For Respondent, Kevin C. O'Dowd and The Robinson-Humphrey Company, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name qf Claimant Eugene D. Miller 93-04555 Name of Respondents Branch, Cabell & Company Roger D. von Seldeneck Daniel E. Grandstaff REPRESENTATION Claimant Eugene D. Miller ("Miller") was represented at the hearing Pro Se. Respondents Branch, Cabell & Company ("Branch Cabell"), Roger D. vonSeldeneck ("vonSeldeneck"), and Daniel E. Grand

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS I 0 In the Matter of the Arbitration Between Name of Claimants Richard J. Liberante and Mary David 93-04548 Name of Respondents A.G. Edwards & Sons, Inc. Peter Barrett REPRESENTATION For Claimants Richard J. Liberante ("Liberante") and Mary David ("David"): Timothy L. Burke, Esq. of UAW Legal Services Plan located in Cheektowaga, New York. For Respondent A.G. Edwards & Sons, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Daryl L. James, Jr., Trustee of the Daryl L. James, Sr. Living Trust Dated October 8, 1985 NASD Arbitration No. 93-04541 Name of Respondent (s) Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Paul N. Young, C.E.O., Securities Arbitration Group, Inc., Marina del Rey, California » Fo