N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arthur and Lenore Olson; Estate of Donald Bennett; Madeline Dantuma; Ara Louise Olson; and E. Taliaferro French and Dorothy French Consolidated Case No.s 9i 91-00637; 91-00653; 91-00663; 91-02068 Name of Respondents Mutual Service Corporation John M. Culbertson REPRESENTATION OF PARTIES For Claimants: Steve Sam

t N.A.S.D. AWARD NATICNBL ASSOCIATION OF StXJJkiTlKS DEMURS fn the totter of the Arbitration Bett*een ^^_of__QaiS^Qtisl Richard M. Larirtffn 91-00636 Merrill Lynch, Pierce Fenner & Smith Inc Joseph Par Claimant: Richard M. «* Kespccdents: Gary Gleasca, »,. a^ SUlip ****, HI. of Keesal. Young and logm Stataunt of c**4< m filed: 2/27/91 Claimant 1 a gnVMria^fy Agreenaxt signed on: 2/19/91 Statement of Answer filed by Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Itetter of the Arbitration Between Herbert Capian Marian Capian Joel Capian Mollie Capian Nathan Capian 91-0063-1 Johnston, Lemon & Company T Inc. For Claimant: Claimants appeared pro se. For Respondent: Respondent was represented by Donald E. Clem Statement of Claim filed on February 26, 1991. Additional information filed with National Association of Securities

N.A.S.D. AWARD NKTICNRL ASSOCIATION OF SECDRITE2S In the Matter of the Arbitration Between pf TV m arm v. & Mary A. Olson Mary A. Olson Elsie M. & Ectaund V. Olson Snily C. Olson Briroinri V. & Benjamin J.A. Olson Name of Respcndffnt(s) phjM-i^fj pran Dean Securities 91-00633 For dainants: Cheryl L. Duryaa, Esq., Tjma Powell Shears Lubemafcy, Olynpia, For Re^ondents: MH^haai R. Scott, Esq., Hi 1 ' lig dark

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00735 William V. Rollins, claimant vs. Jason M. Ganton, respondent. ATTORNEYS: Claimant appeared Pro Se, Hendersonville, NC. Respondent appeared Pro Se, Boca Raton, FL. DATE FILED: February 13, 2001 CASE SUMMARY: Claimant alleged that Respondent overcharged him on commissions, and churned his account thereby creating a loss. Claimant further alleged that respondent misrepresente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anna M. Guida, Trustee 91-00630 Name of Sun Investment Services , Co. Nicholas logoff For Claimant: James R. Kauffinan, Esq. of P.O. Box 481, Millbrae f OV 94030- 5481 For Respondent Sun Investment Services, Co*: George G. Weickhardt, Esq. of Adams, IXique & Hazeltine, 500 Washington Street, Sixth Floor, San Francisco, CA 94111

HJLSJ). 3IOBD OP HaiiiiiTiiai iffflffCTS In *•>*» M|| Ir | of Ob Minor and B.F. n/lc/a SKBCSQQ Zfomn BroOKCS, IDC* » - -«*- BeBpCDdeota OF PRPTTTS Claimant Jo Minor appeared pro se. Respondent E.F. Bitten & Ccnpany, Inc. n/k/a flhearacn Tiphmnn Brothers, Inc. vas represented by Mark T. Carberry, Esq. case In a Statenoit of Claim filed with the National AsaociaHm of Securities Dealers, Inc. ("NASD") on or about February 25

^ - _ ^K^M® Arbitration - J%gnjgyj — * ^*^*^«^ National Association of Securities Dealers, Inc. NASD Financial Center N.A.S.D. AWARD 33 Whitehall Street New York, New York 10004 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Of Harold Altaian 91-00624 Name of Respondents Invemed Associates, Inc. Harris Berenholz For Clairrant: Jeffrey Herrmann, Esq. of the law firm of Cohn f L

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEMJ3RS In the Matter of the Arbitration Between Name of Claimants Cecelia^leisinger & J. Allan Gleisinger 91-00623 Name of Respondent Charles Schwab & Company, Inc. For Claimants: Claimants Cecelia and J. Allan Gleisinger represented themselves. For Respondent: David Montgomery, Esq. frcm the lawfixm of Keating, Mjething & Klekanp. Statement of Claim filed on: February 25, 1991. Clai

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-00622 AWARD In the Matter of the Arbitration Between Kevin & Kim Kitterman Claimants vs. Hibbard Brown & Company, Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 2 6 , 1991, Claimants, Kevin & Kim Kitterman who appeared Pro Se, alleged that Respondent Hibbard Brown 5s Company, Inc. deceived them into purchasin