N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTO In the matter of the Arbitration Between Name of Clifford Reese NASD Arbitration No.92-03066 if Resnondentf si Paulson Investment Company, Inc. Robin Edwards For Claimant: Thomas K. Coan, Esq., Portland, Oregon For Respondent Paulson Investment: Keith A. Ketteriing, Esq., Stoli, Stoll, Berne & Lotting, P.C., Portland, Oregon Respondent Robin Edwards represented himself. CASE INFORMA

N'.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS hi the Matter or the Arbitration Between Name of Claimant Erie Family Life Insurance Co. 92-02944 Name of Respondent!si lerry E. Gretzinaer Thomas A. James REPRESENTATION For Claimant: Jan R. Van Gorder. Esq.. of Erie Family Life Insurance Co. For Respondent: Kevin A. Carreno. Esq.. of Raymond James & Associates. CASE INFORMATION Statement of Claim filed: Aug. 31. 1992 Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name o Stephen D. Tracy 92-02976 Name of Respondents Oppenheimer & Co., Inc. and Dwight Badger ttl£PR]Efi]ENTATION OF PARTIES For Claimant at the hearing: Andrew J. Munro, Esq. of Munro and Munro, Troy, Michigan. For Respondents at the hearing: Lee Ann Russo, Esq. of Jones Day Reavis & Pogue, Chicago, Illinois. CASE INFORMATION Statement of Claim filed: September 3, 1992. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-02453 Charles Schwab & Co., Inc., claimant vs. Ed Irenio Cobangbang, respondent. ATTORNEYS: For Claimant appeared Brandon K. Hemley, Esq., in-house counsel, San Francisco, CA. Respondent did not submit a response to the Statement of Claim. DATE FILED: May 10, 2001 CASE SUMMARY: Claimant alleged that respondent sold 800 shares of MXIM that were not in his account creating a short sel

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Mabel Rogers and 92-02974 Name of Respondent Robert W. Baird & Co.. Inc. REPRESENTATION OF PARTIES Claimant Mabel Rogers was represented by Nicholas P. .lavarone, Esq. of Bellows and Bellows, Chicago, Illinois. Respondent Robert W. Baird & Co.. Inc. was represented by Deborah J. Fabritz, Esq. of Robert W. Baird & Co.,

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant Bieber-Taki Associates vs. Case # 92-02971 Name of Respondents MMAR Group, Inc. Cory Miner Paul Brown REPRESENTATION For Claimant: Frederick E. Smithline, Esq. and Brian Greenman, Esq. of the firm Epstein, Becker & Green. For Respondent: Richard P. Schultz, Esq. of MMAR Group, Inc. CASE INFORMATION Stat

MODIFIED N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Allan & Joan Storace Allan Storace/TTEE Jean Storace Tr. vs. Case » 92-02960 Name of Respondents Prudential Securities. Inc. Herbert A. Kroner REPRESENTATION For Claimants: Lawrence R. Gelber, Esq. of Beigel & Sandier. For Respondents: Andrew W. Sidman. Esq. of Butler, Fitzgerald & Potter. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Temple University of the Commonwealth System of Higher Education 92-02959 Name of Respondents Prudential Securities Inc David Beale Robert Hirsch For Claimant Temple University of the Commonwealth System of Higher Education ("Claimant"): Michael K. Goran, Esq. of the law firm of Klehr, Harrison, Harvey, Branzburg & EUer

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of CaJr Robert Ash 92-02958 Name of Respondents Shearson Lehman Brothers, Inc. f/k/a E.F. Hutton, Inc. Christopher T. Mueller CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 2, 1992, Claimant Robert Ash, who appeared Pro Se, alleged that Respondent Shearson Lehman Brothers, Inc. , thr

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Max Wailis 92-02954 Name of Respondents J.W. Gant and Associates. Inc. James S. Hall CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on September 2. 1992. Claimant Max Wailis. who appeared Pro Se, alleged that after Respondent James S. Hall, an employee of Respondent J.W. G