N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Louis E. Fricke NASD Arbitration No. 92-03487 Name of Respondent^ Steve Roberts Michael Yauch REPRESENTATION For Claimant: Louis E. Fricke, Newhall, California For Respondents: Michelle Bryan Oroschakoff, Esq., Dean Witter Reynolds Inc., San Francisco, California CASE INFORMATION Statement of Claim tiled: October 13, 199

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-02479 Investec Ernest & Company, claimant vs. Bobby Park, respondent. ATTORNEYS: For Claimant appeared Michael Colombo, President, Streetwide Asset Recovery Group, Inc., New York, NY. Respondent did not submit a response to the Statement of Claim. DATE FILED: May II, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay an unsecured debit balance due to claimant's

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant} Marilvn M. and Robert Clauss Name of Respondents Bear Stearns & Company Brent Yarbrough 92-03485 'A\\ For Claimants at the hearing: John D. Hudson. Esq. of Carney, Hudson. Williams. Blackburn & Grask. Des Moines, Iowa. ; For Respondents at the hearing: William C. Mailery, Esq. of Bear Stearns & Company, New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph W. Tremont 92-03474 Name of Respondents Smith Barney Harris Upham & Co.. Inc. Robert M. Stringer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 14, 1992, Claimant Reverend Joseph W. Tremont. who appeared Pro Se, alleged that Respondents Smith Barney Harris Upham & C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marydeil S. Dilworth, Trustee 92-03464 Name of Respondents Robert W. Baird & Co., Inc., Northwestern Mutual Life Insurance Company, John H. Myaard, David B. Schoon. Francis Gingras REPRESENTATION OF PARTIES For Claimants at the hearing: Peter W. Steketee, Esq., Grand Rapids, Michigan. For Respondents, Robert W. Baird & Co., Inc

K AWARD N'ATIQNAI, ASSOCIATION OF SFCLTtlTIpS DEALERS. INC. In the matter of the Arbitration Between nf f lair Goldy Soonenteld Family Trust Goldy Sonnenfeld NASD Arbitration N6.92-03463 First Investors Corporation Marvin S. Scberr ZevFogei For Claimant: Edward T. Swansea, Esq. - Swansea & Mcepos • Santa Monica, Ca. Tot Respondents: A. Thomas Moms, Esq. - Kirkpatrick & Lockfaart - Washington, D.C. CASE Statement of Claim filed: O

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) George Dolling 92-03456 Name of Respondents') Vantage Securities, Inc. Vantage Financial Services, Inc. Vanden J. Catli REPRESENTATION For Claimant: Suzanne Harris, Esq. of Durkin & Durkin. For Respondents Vantage Financial Services, Inc. and Vantage Securities, Inc.: Martin E. Karlinsky, Esq. of Camhy Karlinsky & Ste

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Anne J. Mazzella Michael Mazzella Louis V. Mazzella 92-03455 Name of Respondents/ Third-Party Claimant Oppenheimer & Co., Inc. Joseph D'Amadeo Name of Thiipj-Paitv Respondent Louis V. Mazzella, Sr. ^PRRSENTATION For Claimants Anne J. Mazzella, Michael Mazzella and Louis V. Mazzella (collectively referred to as

N.A.S.A. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Harold C. Milinsky and Tova Milinsky 92-03453 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc.; Sidney Kogan REPRESENTATION For Claimants: Harold C. Milinsky and Tova Milinsky ("Milinsky") were represented by Anthony V. Trogan, Esq., of Weisman, Trogan, Young & Schloss, P.C., located in Birmingham, Michigan.

/-/I N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Jackie Hightchew and 92-03449 Name of Respondents Cullom & Sandow, Inc. and Richard Wells REPRESENTATION OP PARTIES Jackie Hightchew ("Claimant") was represented by Don T. Cates, Esq., Forney, Texas. Cullom & Sandow, Inc. and Richard Wells ("Respondents") were represented by Ben L. Krage, Esq. of Kasmir &