Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York - N - Y - 10004 FAX (212)853-4389 Name of Claimant (s) Irene P. Alterbaum 91-01917 Name of Respondent (s) Gruntal & Co., Inc. Jacob Meyrowitz For Claimant: Stephen G. Rinehart, Esq. of Parker, Chapi

N.A.S.D. JWARD NRHCNAL ASSOCTOTCH OF SECURITIES DEALERS In the Matter of the Arbitration Between of Richard J. & Mildred L. Sisson 91-01914 J*W. Gant and Associates* Inc. Jfcrvin Mitchell, and Hoyce Park Investments, lac. Claimants, Richard J. gnd Mildred L. Sisson were represented by Robin C. Carter, Esq. of rA-n^an^ ChHta & Fields of Tucson, Arizona. Respondent, J. H. Gant and Associates, Inc. was represented by Gordon D* Dible, Esq. o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Howard Leung and Shirley Leung Benita Leung Fay Horn and Brian Horn 91-01913 Names of Respondents G K Scott & Co. Inc. Wakefield Financial Corporation Kelly Trading Co., nka Minelia, Rich Co. Alexander Minelia Keith Minelia John Kevorkian George Kevorkian Parsons Eng Tiffany, Ltd. etal REPR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant Catherine Grimes No. 91-01910 Name of Respondents Smith Barney, Harris. Upham & Co., Inc. George Owen REPRESENTATION OF PARTIES For Claimant: Kenneth B. McClain, Esq. and James M. Ziegler, Esq. of Humphrey, Farrington & McClain, P.C., Independence, Missouri. For Respondents: Alejandro Schweb, Esq., Vice President, Law Depart

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John W. Dundon and Janet Clayton, (Claimants) vs. Ameritrade, Inc. and Advanced Clearing, Inc., (Respondents) Case Number: 01-00774 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John W. Dundon ("Dundon") and Janet Clayton ("Clayton"), hereinafter collectively referred to as "Claimants": Patrick J. McGrath, Esq., a sole practitioner, Amityville, NY.

Arbitration N.A.S.D. AH&RD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between N*™» Of Cl^iTrant- Iris Yaskal, Est. of Bernard Yaskal 91-01903 Name of Respondents Shearson Merton Mitchell Brothers, Inc. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant Iris Yaskal administratrix for the Estate

Arbitration \r a c n N.A.S.D. __ NATICNAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between of Robert Ii. Vollrauth as trustee Vollnuth Corp. Pension Plan & Trust vs. Name of Respondents Prudential Securities Tnc Randall Carbons National Association of Securities Dealers. Inc. NASD Financial Center 33 Whitehall Street New York NY 10004 FAX (21 2)' 853-4389 Case # 91-01900 F

Arbitration National Association of Securities Dealers, Inc. __ NASD Financial Center NATIONAL ASSOCIATION OF SfcUURiTlBS DEALERS 33 Whitehall Slreet _ New York, N.Y. 1 0004 In the Matter of the Arbitration Between FAX (2 12) 858-4389 Name of Earnest 6. Sharpe 91-01898 Ifeme of Respondents First Fidelity Capital Corp. Ted L. Rubin Ian R. For Claimant Earnest G. Sharpe ("Claimant") : Mr. Sharpe appeared pro se. For Respond

N.A.S.D. AWARD ASSOCIATION OF SBCUiU'l'lES DEALERS In the tatter of the Arbitration Between of Claimant (3) Roland C. Pamn 91-01891 Name of Respondent (s) Gregory Snail KKficESPcuurltK For Claimant: Claimant Roland C. Pamn appeared pro se. For Respondent; D. Elizabeth Wills, Esq., in-house counsel at Chatfield Dean & Co. QSSE Statement of Claim filed: June 17, 1991. Claimant's Submission Agreement signed on: June 14, 1591.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David J. and Geriann Patterson and 91-01890 Name of Respondents Toluca Pacific Securities?--Inc. U.S. Clearing Corp. Claimants appeared pro se. Respondent Toluca Pacific Securities Corporation was represented by Peter Blowitz, its President. Respondent U.S. Clearing Corp.-was represented by Peyter Blowitz by agreement