N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Paragon Capital Corp. 95-02072 Name of Respondent Jason McElhone CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1995, Gaimant Paragon Capital Corp., through its representative and Compliance Director, Michele D. Wessel, located in New York, NY, alleged that Respondent Jason

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Richard Steele Claimant and NASD Arbitration No. 95-02070 Dean Witter Reynolds Inc. Respondent REPRESENTATION OF PARTIES Richard Steele ("Claimant") was represented by James F. Fotenos, Esq., San Francisco, California. Dean Witter Reynolds Inc. ("Respondent") was represented by Curt H. Mueller, Esq., San Francisco, California. CASE IN

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between John Kent, Claimant, and No. 95-02066 Berkeley Securities Corporation, William Baquet, Phyllis A. Henderson, and Daniel J. Subarsky, Respondents. REPRESENTATION OF PARTIES Claimant John Kent ("Claimant") was represented by Melvin G. Mosely, Jr., Esq. of Warner Norcross & Judd located in Grand Rapids, Michigan. Respondents Berkeley Securities

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name James ML Mosher NASD Arbitration No.95-02062 Name of Respondent Edward D. Jones & Company Abraham Dye JackCahill REPRESENTATION For Claimant: Jeffrey N* Daly, Esq., Walnut Creek, California For Respondent: Mary Aim Wymore, Esq., Greensfelder, Hemker & Gale, P.C, St. Louis, Missouri CASE INFORMATION Statement of Cl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01889 Ameritrade, Inc., claimant vs. Dennis A. Rose, Jr., respondent. ATTORNEYS: For Claimant appeared James A. Vihstadt, Esq., in-house counsel, Bellevue, NE. Respondent did not submit a response to the Statement of Claim. DATE FILED: April 16, 2001 CASE SUMMARY: Claimant alleged that respondent failed to repay the debit balance owed in his account. Claim Data Award Data Cl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants • Paul and Barbara M. Gelner as Trustees for the Paul and Barbara Gelner Trust 95-02052 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 28, 1995, Claimants- Paul and Barbara M..Gelner as Trustees for the Paul and

AWARD NASD Regulation, Inc. Dispute Resolution In the Matter of the Arbitration Between James M. Evans, and Shirley D. Evans. Claimants, v. No. 95-02049 Prudential Securities, Inc., PaineWebber, Inc., Daniel L. Zessinger, and Sandra M. Logay, Respondents. REPRESENTATION OF PARTIES Claimants James M. Evans and Shirley D. Evans were represented by Edward C. Cody, Esquire of Klutho, Cody & Kilo, P.C. Respondents Prudential Securities, Inc.

N.A.S.D. AWARD NATIQNALASSOCIATIONDF_SECIIEIIIESDFATP.RS, INC. In the matter of the Arbitration Between Name_of Claimant Stanley Szeto Name of Respondents NASD Arbitration No. 95-02046 Albert Scibilia; William T. Bullis; Tamaron Investments, Inc.; Conversion Industries, Inc.; and Coopers & Lybrand REPRESENTATION For Claimant: For Respondent Tamaron Investments, Inc. For Respondent Conversion Industries, Inc: For Respondent Albert

N.A.S JX AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants IssaRafcedie Nisreen Rafeedie NASD Arbitration vs. No. 95-02036 Name of Resppndents Merrill Lynch Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimant: Paul W. Thomas, Esq., Carlsbad, California For Respondent: Michael C. Licosati, Esq., Kecsal, Young fie Logan, Long Beach, California CASE INFORMATION

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION Prudential Securities Incorporated, Claimant v. No. 95-02030 Timothy J. Vos and Jamison Monroe, Respondents. REPRESENTATION OF PARTIES Timothy J. Vos ("Vos**), and Jamison Monroe ("Monroe") were represented by Eugene Clements, Esq. and Ruth B. Downes, Esq., Houston, Texas. Prudential Securities Incorporated ("PSI") was represented by David Sterling, Esq., and Bill Kroger, Esq., o