PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Blanche 1. Schwetta vi. ' 90-01797 Mama of ftainondant Gregory Schwerin CAfflE STTMMAtt V In t claim filed with the National Association of Securities Dealers, Inc. on June 23, 1990, Claimant Blanche I. Schwerin, who appeared Pro Se, alleged that Respondent Gregory Schwerin, while employed by Wall Street Financial/ which is now bankrupt,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-00687 Stanford Group Company, claimant vs. Michael Porricelli, respondent. ATTORNEYS: For Claimant appeared Rebecca Hamric, of Stanford Group Company, Houston, TX. Respondent did not respond to Statement of Claim. DATE FILED: February 9, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay monies owed pursuant to terms of a Settlement Agreement. ARBITRATOR'S REPORT: F

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter Peale Davies & vs. Wm Sword & Co. of the Arbitration Between Co. , Inc. Claimant , Inc. Respondent X X X X x CASE NO. x 90-01789 X X AWARD x X CASE SUMMARY Claimant, Peale Davies & Co., Inc. ("Peale Davies"), alleged that its managing director, Steven M. Looney ("Looney"), entered into two separate agreements with the Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Tom B. Brock No. 90-01788 Name of Respondents John Janeway Robinson-Humphrey Company, Inc. Shearson Lehman Brothers, Inc. REPRESENTATION OF PARTIES Claimant, Tom B. Brock-appeared pro se. For Respondents: Michael W. Rhodes, Esq.. of Lathrop, & Norquist, Kansas City, Missouri. CASE INFORMATION Statement of Claim filed on or about: June 25, 1990. Claiman

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant-./.^ Raymond A. & Rose M. Rieke 90-01781 Name of Respondent ( s \ Citicorp Financial Services, Inc. Heard before: Public /ii Robert D. Rose, Esq. Public /Chairman BEEEBHS2SS Claimants Raymond A. & Rose M. Rieke were represented by Mr. Raymond A. Rieke , In Pro Se. Respondents ware represented by Richard P. Murphy, E

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Michael Bartok 90-01772 Merrill Lynch, Pierce, Fenner & Smith Inc. Heard before: Name Jonathan I. Klein Roger W. Van Deusen Lester T. Miller Public/ Industry Public Arbitrator Public Arbitrator Industry Arbitrator In a claim filed by the Claimant Michael Bartok ("Claimant") on June 21 r 1990, Clai

N.A.S.D. AWARD NATIONAL ASSOCIATION OF U1UUUT1ES DEALERS In the Matter of the Arbitration Between ) ) of J. Wbolley, Jr. ) ) ) Case No, 30-01771 > Mama of Bflflprtvlpnt (a) > \ v-v — i r Dennis filter ) ^ — ^r^< " Easter Kramer Group Securities, IDC. ) \\V Integrated Resources Equity Corp. ) \ •_• • • Global Capital Securities, Inc. ) ' Gary S. Reamer ) \ ' - - Dennis J. Raster as Trustee for ^G ) U - - Gary S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between £?ame of Claimant: {s i Alvina Brandon 89-0X659, 89-01683, J " 90-01769 and Name of Blinder Robinson & Co., Inc. Msyer Blinder Harvey Cohen Blinder International Enterprises, inc. liil u ^-t I! FEB I 5 1991 Alvina Brandon, Sanford 0. Klein, Paul T. Ferda, Jr. and Mprl C. and Han I. Willbanks (collecti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Patricia A. Tugman, Ind. & as Parent and Custodian for Justin J. Tagman 9(W)1768 Name of Respondents ) Chatfield Dean & Co., Inc. John W. Watton Michael A. Lapp In a claim filed with the National Association of Securities Dealers, inc. ("NASD") on or about June 22, 1990, Patricia A. Tugman, "*»*"£' and as Parent and Custodian f

c NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. ARBITRATION DEPARTMENT In the Matter of the Arbitration Between: DENNIS J. DRESCHER, Claimant, v. 'DJ'^ifitf APR 06 2001 NASD-DRNo.01-00683 Hearing Site: Chicago, Illinois THOMAS D. BRISBIN, LINDA M. BRISBIN, ) SMITH BARNEY, INC., and CARL MAXCEY, ) Respondents. ) STIPULATED AWARD REPRESENTATION OF PARTIES: Claimant Dennis J. Drescher is represented by John T.