PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter A. Lindquist vs. 92-03026 Name of Respondent Bear Steams & Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 10, 1992, Claimant Peter A. Lindquist, who appeared Pro Se, alleged that Respondent Bear Stearns & Company, Inc. misled him into investing his

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Laura Beverly Perlman NASD Arbitration No.92-03022 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc. Barry Rochlin Richard Hunter Joe McLaughlin For Claimant: Laura Beverly Perlman, Northridge, California For Respondents: V. James Mann, Esq., Merrill Lynch, Pierce, Fenner & Smith, Inc., New York, New Y

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jeffrey M. Azpbell. Trustee First Trust & Company Money Purchase Pension Plan 92-03018 Name of Respondents Kidder, Peabody & Co., Incorporated Paul M. Yeakel REPRESENTATION Claimant Jeffrey M. Azpbell ("Claimant:) was represented by Anthony J. Horn, Attorney at Law. Respondents Kidder Peabody & Co., Inc. ("Kidder") and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimant(s) James A. Nadeau, Trustee 92-03014 Name of Resoondentfs) Hopper Soliday and Co.,Inc. W.H. Newbold's & Sons Co. Fahnestock & Co., Inc. Jeremy W.Y. Hall f REPRESENTATION For Claimant, James A. Nadeau, Trustee: Samuel M. Shafner, Esq. of the law firm of Shafner & Gilleran. For Respondents, Hopper Soliday and C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Daniel P. DeRose 92-02993 Name of Respondents) First of Michigan Corporation Timothy Moore For Claimant Daniel P. DeRose ("Claimant"): David S. Tolbert, Esq. with the law firm of Munro & Munro, located in Troy, MI. For Respondents First of Michigan Corporation (TOM") and Timothy Moore ("Moore") (Respondents): Michael P.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-02451 James and Erin Ogburn, claimants vs. Salomon Smith Barney, Inc. and Angela Lewis, respondents. ATTORNEYS: Claimants appeared pro se, Los Angeles, CA. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY, DATE FILED: May 7, 2001 CASE SUMMARY: Claimants alleged that respondents placed unauthorized trades in their account. Claimants maintained that due to

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00837 Napoleon Georgatos, claimant vs. New Times Securities Services, Inc., and Mike Silks, respondents. ATTORNEYS: Claimant appeared Pro Se, Jamaica, NY. Respondent, Michael Silk, appeared Pro Se, Plainview, NY. Respondent, New Times Securities Services, Inc., did not respond to the Statement of Claim. DATE FILED: February 25/2000 ~ " ~ ~ " CASE SUMMARY: Claimant alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between . K"VT!* .:TION r wi- A ~ Name of Claii Sheryl A. Brunett - ~ and 92-02990 Resondents Rauscber Pierce Refsnes, Inc. and Don HanJey REPRESENTATION OF PARTIES Claimant Sheryl A. Brunett appeared Respondents Rauscher Pierce Refsnes, Inc. and Don Hanley were represented by James T. Ritt, Esq. of Rauscher Pierce Refsnes, Inc., Dallas, Texas.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Merrill Lynch Pierce Fenner & Smith Inc Award vs. #92-02985 Name of Respondents Hibbard Brown & Co., Inc. REPRESENTATION For Claimant, Merrill Lynch Pierce Fenner & Smith Inc., ("Claimant") Stephen T. Paine from the law firm of Brown & Wood located in New York, New York. For Respondent, Hibbard Brown & Co., Inc. ("Responde

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name qf Claimant Dennis W. Lacy and 92-02980 Name of Respondents RAF Financial Corporation and Wilfred "Chic" Dick, Jr. REPRESENTATION OF PARTIES Claimant Dennis W. Lacy was represented by Edward C. Moss, Esq. of Moss, Morris & O'Dell, P.C., Denver, Colorado. Respondent RAF Financial Corporation was represented by Gene R. Thornton, Es