N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Carl V. & Catherine R Conn Living Trust Carl and Catherine Conti 96-00832 Name of Respondents) Great American Financial Network, Inc. Victor Verola REPRESENTATION For Claimants Carl V. & Catherine F. Conti Living Trust and Carl and Catherine Conti: Tim B. Wright, Esq. of Warner, Fox, Seeley, Dungey & Sweet, Stuart, Florida.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc., Claimant v. Steven B. Stiffel, Respondent Case Number: 00-05420 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Kevin M. Gleason, Esq. Kane & Fischer, Ltd. Chicago, Illinois For Respondent: Steven B. Stiffel, Pro se Manhattan Beach, California CASE INFORMATION Statement of Claim filed: December 5, 2000

RECEIVE! AWARD SEP 1 * 1998 NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION HASD-Arbitration In the matter of the Arbitration Between Name of Claimant Burton E. Kurz and Virginia A. Kurz v. Arbitration No. 96-00831 Name of Respondents Landmark International Equities, Eric J. Aronson, Joseph L. Faraldi, William Nunziato, Martin Drayer, Howard Berger, Paul Italia, and Craig Steven Redding REPRESENTATION

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION Priscilla Brchm; Shearwater Securitie.s: California Capital Scr\ ices. Inc.'. Lon Monon: The Morton hanuly Trust: Morton Capital Management: Richard A. IraL-h: MLC^ Propcny Inc.. arul ("alabasas MunuilciiiciH, In REPRESENTATION Ricki C. Ring. Esq./Jay Sicm. J : ,sq. Law Offices of Rieki C. Ring Los Aneeles, California Michael L. Olickfiokl. GlickfieUl, Tields & Jal'te Richard

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Lewis, de Rozario & Co., Inc. and 96-00829 Name of Respondent Robert \V. Lewis REPRESENTATION OF PARTIES Lewis, de Rozario & Co., Inc. ("Claimant") was represented by James E. Nesland, Esq., William J. Leone, Esq., and Marc L. Jacuzzi, Esq., Cooley Godward LLP, Denver, Colorado. Robert W. Lewis ("Respondent") was represented by

NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Bel ween Kenneth A. Keeley, and Kenneth A. Keeley Trust, Claimants, v. No. 96-00822 East-West Capital Corporation, East-West Group, East-West Institutional Services, Inc., East-West Financial Corporation. Craig A. Janutol, Jonathan D. Ahlbrand, and John and Jane Does 1 Through 10. Respondents. REPRESENTATION OF PARTIES Claimants Kenneth A. Keeley

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Williams Capital Group, L.P. 96-00819 Name of Respondent Sharpe Capital Inc. CASE SUMMARY In a case filed the National Association of Securities Dealers, Inc., on February 23, 1996, claimant the Williams Capital Group ("WCG" or "claimant"), through its representative and Chief Operating Officer Bruce M. Usher, alleged that

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Prudential Insurance Co. of America %-00817 Name of Respondents Paul Seymour Steven G. Frederick REPRESENTATION For Claimant, The Prudential Insurance Co. of America ("Prudential"} appeared Nathaniel H. Akerman, Esq. of Seyfarth, Shaw, Fairweather & Geraldson located in New York, NY. For Respondent Paul Seymour ("Seymou

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Kalma Koenig Robert and Mary Waller v. Arbitration No. 96-00816 Name of Respondents N.I.F. Securities, Inc. James N. Orth REPRESENTATION OF PARTIES Kalma Koenig, Robert Waller and Mary Waller ("Claimants") were represented by Gary E. Gleicher, Esq., Law Offices of Gary E. Gleicher, Beverly Hills. California. N.I.F.

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Edmund J. Scanlan 96-00814 Name of Respondents Bear Stearns & Co., Inc.; Michael A. Mauskopf REPRESENTATION For Claimant: Edmund J. Scanlan ("Scanlan") was represented by Patrick J. Sherlock, Esq. of Chicago, Illinois. For Respondents: Bear Stearns & Co., Inc. ("Bear Steams") and Michael A. Mauskopf ("Mauskopf") were re