N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES. DEALERS In the Matter of. the Arbitration Between Name of Claimants SBU, Inc. of Illinois SBU r Inc., a Missouri Corporation No. 91-03675 Name of Respondents B.C. Christopher Securities Co. Fahnestock & Co., inc. Jim Rogers REPRESENTATION OP PARTIES For Claimants: Mark G. Schrader, Esq., of Jennings, Jacknewitz & Schrader, P.C., Belleville, Illinois. For Respondents B.C.

PUBLIC N.A.S.D: AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Merrill Lynch Pierce Fenner & Smith Inc 91-03672 Name of Respondents John J. Irwin and Debra L. Invin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. in January 28, 1992 Claimant Merrill Lynch, Pierce Fenner &, Smith, Inc. by and through their counsel Kathy D. Gibbs of Gibbs & Ratliff, H

N.A.S.D. AWARD NATICNftL ASSOdKnCN OP jjHt.ijyiM'mM DEALERS In the Matter of the Arbitration Between llama p£ Lewis NASD Arbitration No. 91-03671 Q£ Young Stovall and Company For Claimant: Evan Scbmtz, Esq. - H° 1mft Roberts & Owen - Salt lake City, Utah For Respondent: In Pro Se Statement of rTalm filed: Nbvmber 21 f 1591 Jbiut Suhodssicci AQreement signed on: Nbvenfoer 16 r 1391 Statement of Answer filed by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Name of Claimant Dennis Siddall 91-03670 - - *r- Name of Respondents Kober Financial Corporation and Francis Holland For Claimant: Mitchell Scott Paul, Esq., Minneapolis, Minnesota. For Respondents: Dennis A. Graham, Esq., of Hopper and Kanouff, Denver , Colorado . CRSE INFORMATION Statement of Claim filed: January 2, 1992.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05279 First Union Securities, Inc., claimant vs. Daron E. McMillan, respondent. ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared Timothy J. Jensen, Esq., Auburn, CA. DATE FILED: November 29, 2000 CASE SUMMARY: Claimant alleged that respondent failed to pay the balance owed on his promissory note. Clai

PUBLIC Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OP MbUJWiriRR DEALERS NASD Financial Center 33 Whitehall Street -= — T£ — rj-rr; - r-rr — ^ .,.• — —. - =-r- -- New York, N.Y. 1 0004 In the Matter of the Arbitration Between FAX 1212)858-4389 of n Gerald R. *"ri Jean Sloane 91-03667 Of Spear, Toodo & Kellogg Kenneth Pasternafc For Claimants: David W. Scimidt, Rag., a sole prac

N.A.S.D. AWARD NATIONAL ASSOdATlCN OF SSCORITIES In the Matter of the Arbitration Between Tetsuo T. flhrno Yofeo R. vs. NASD #91-03666 NaineofRespandfints Bateman Eichler, Hill Richards, Inc. f T 1a-< inamfrg* TetSUO T. For Raspaadent: Jen L. Ra*±nsfc±, Esq., ^«i«i & Andersen, Los Angeles, California Stataneat of Halm filed: Noveotwr 20, 1391 Sutaissicn Agxeejnsat signed: October 22, 1391 Statement of Answer and Counterclaim f

N.A.S.D. AHASD ASSQdAmCN OP Mmmi'i'ihS-i EEAI£RS In the Matter of the Arbitration Between Of Frmnld P. Grunwald, M.D. vs. NASD #91-03654 of Kochcapital Russell 6. Koch TFvsmfl F. White & Co., Inc. National Securities Corparaticn For Claimant: Ronald P. Grunwald, M.D., pro se . Karen Wilsnan, Jtocfacapital, Bellevietfr Waahlngtoa SS - F. VJhita & Go. (White & Co.) and National Securities Corp. OBO - C. Dean Little, Esq., R

Arbitration 0 N.A.S.D. AWARD NKTIOttL ASSOCIATION OP SECOJUTIES DEALERS In the Matter of the Arbitration Between ) ) Name of National Ataociation of Securities Dealer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Marjorie O'Day Name of Respondent (s) Dean Hitter Reynolds, Inc. Jerry O'Leary Case No. 91-03649 Claimant, Marjorie O'Day ("O'Day") MBS ggo se. For Respondent,

N.A.S.D. AWARD NATIONAL ASSOdATICN OF .ShX-URITJJES DEALERS la the Matter of the Arbitration Between. pf Joseph M. Hbgan a^n sandy S. Peter Stanley NASD Arbitration Mb.91-03647 Q£ p»agpr-mrl< an fc (3) For Claimant: Joseph *™* Sandy For Respondent; H. ihonas Duncte, Esq., New York, New York. CRSB Statement of naim filed: Nbvenber 19, 1991 ft.ji in mart f- ff-|qfi< ^ rmy JKjVUlijer 14, 1991 Joint Statement of Answer filed by Respondents