Arbitration N.A.S.D. £WARD National Association of Securities Dealers, Inc. ASSOCIATION OP SBCDRITIES DEMURS New York. N.Y. 10004 In the Hatter of the Arbitration Between FAX (21 2) 858-4389 Name of Claimant Marie J. Stacbowski 91-00742 •S Name of Respondents John Hancock Distributors, Inc. E* Fur Claiinant Mark J. Stacbcwski ("Claimant") : he appeared pro se. For Respondent John Hancock Distributors, Inc. ("Hancock") : Frederick

PUBLIC Arbitration National Aasodatton of M.A.S.D. AHAHD Sacurtttea Daalai*, Inc. NASD Financial Center *TMinw»T lag.- n i. — MH _. »*™--— - 33 Whitehall Street NATICNAL ASSOdATZON OF SECURITIES DEALERS New Yor fc t N.Y. 10004 FAX (212)'858-4389 In the Matter of the Arbitration Betwom Name of. m a^i William 6. 6 Joan E. Sabol 91-00740 Name of Roopopdonts Kidder, PeabooY £ CO.* Incorporated Peter Matt Timothy T

N.A.SJX AWRKD MATICKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Arjan Sanbvoni vs. 91-00738 Name of Ronprndpntte) ^^^^•••••••••••••i^BBBSESSB^B Smith Barney Harris U£ham & Co., Inc. For Claimant: George C. Qalversen, Esq., 216 S. Icuis Street, Glendale, CA 91205 FOOT Pffflporrt°ntt T.ltvh R. Alpert, Esq., anith Barney, Harris Upham 6 Co., Inc., 333 Wast 34th Street, Mew York, NY 10001 Statement of ("In-t

PUBLIC Arbitration National Association of XT a c n -^ttra-Dn Securities Dealers. Inc. JN.A.b.D. AWAKD Center 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York. N.Y. 10004 FAX (21 2) 858-4389 In the Matter of the Arbitration Between Of Henry J. Flanagan 91-00737 Name of Shearson Lehman Brothers, Inc. Edgar A. Ray For Claimant: Lawrence R. Gelber, Esq. of the law firm of Beigel & Sandier, Ltd.

Corrected Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John M. and Beverly A, Gronvall, Claimants Vs. Merrill Lynch Pierce Fenner & Smith, Inc., Robert E. Thompson, and Robert T. Wright, Jr., Respondents. Case Number: 01-00742 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Douglas A. Kutsko, Esquire, of Brian P. Biggins & Associates, Rocky River, Ohio, represented Claimants John M. and Be

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mildred Lee Firak „, , ^ ^ -i Mildred L. Firak as Trustee FBO Mildred L. Firak Trust Dated 1 / 31 ' 89 91-00733 Smith Barney Harris Upham & Co., Inc. Scott Altman REPRESENTATION For Claimants ("Claimants"): Fredric E. Kramer of McNeal, Schick et al. For Respondents Smith Barney Harris Upham & Co,, I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert L. Gritzke Richard Gritzke Bertha Gritzke —- .-. -v Consoiidated No.s 92-0 Name of Respondents Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc. Roger Bach Michael Rago REPRESENTATION OF PARTIES For Claimants: Matthew D. Wayne, Esq., and Robert Vanasco, Esq. of Fisnman & Merri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Al Baraka Investment & Development Company NO. 91-00729 Name of Respondents Dr. Nizar Yaqub, - *~ Gibraltar Investments, Vanguard Capital, Broadcourt Capital Corporation, and Pershing Securities, a division of Donaldson, Lufkin & Jenrette Securities Corporation REPRESENTATION OF PARTIES For Claimant: Martin

N.A.S.D. NATICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cathy A. Srnilan v 91-00725 Shearson Tollman Brothers, lac SchietingeT For Claimant: Daniel J. Bergeson, Esq. - Bexgeson & £G.iopoulos For Respondent: E. Scott Douglas, Esq* - Keesal, Young & IKRJMKECCN Amended Statement of Cla-im filed: October 7, 1991 Claimant's Submission Agreement signed on: April 4, 1991 Joint Stateoent of Answer filed by R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leon Greenblatt 91-00717 Name of Respondent Raffensperger, Hughes S'dSmpany REPRESENTATION For Claimant: Michael B. Roche, Esq. and L. Andrew Brehm, Esq. of Schuyler, Roche & Zwirner. For Respondent: Robert S. Steigerwald, Esq. and Roger Taylor, Esq. of Kirkland & Ellis. CASE INFORMATION Statement of Claim filed: 03