JflN 33 '32 91-02033 P.3 National AMOdaiton of SacurttfM Dt aton, Inc. NA80 Financial Canttr 33 WhfwhtM Street N«w York, N^w York 1000* Caatle Seouriti** Corp, KiohMl T. Studar Mary Martin Daniel H. Claimants All pro se. a&Pearedpco 8*. Stat««t of claim OUly 1, of of ara sswas l T. H . Goldan on, Blaned „, fcigust 20, 1991. JPN 30 f 3Z P.4

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joan E. Patrick, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-05215 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Michael H. Bonner, Esq. San Francisco, California For Respondent: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of Claim filed on or about

Arbitration N.A.S.D. AWARD •at NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant I. Jacob Dahan vs. Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-02028 For Claimant, I. Jacob Dahan, Bruce E. Falby, Esq. of the law

t t N.A.S.IX ANAKD NKTICHHi ASSOCIATION OF SIJLXJRLT1£S EERLERS la toe natter of the Arbitration Between Name of & Sheryl Gossett 91-02025 il Securities Corp. David S. Miller Cindy Leach dai&ant was represented by Itomas W. Koeilii^g, Esq. , Kansas City, Missouri* Reepcojents ware represented by Jane L. Stafford, Esq. of Mitchell * Xristl Lieber, Kansas City, Missouri. the Statonent of Claim was filed on or about June 28, Cla

N.A.S.D. AWARD NATIONAL ASSOCIATICK OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betwocn of lampros Mastrbkalos 91-02021 Name of Respondents Shearson T Rahman Brothers* Inc. Henry Senger, Jr. Henry Senger Alan Garber For Claimant: Ecbard A. Zahos, Esq. of the law firm of Joseph S, Di Meiria, Esq. For Respondents; Harry T. Walters, Esq. CASE Statement of Cla-im filed on: June 28, 1991. Claimant's Submission

PUBLIC N.A.S.D. AWAKD ASSOCIATION OF fcJUUUklTlES DEALERS, INC. In the letter of the Arbitration Between ftfarmo n Colin Cody 91-02018 Name of Respondent Sutro & Co., Inc. For Claimant: Colin Cod/ appeared pro se* For Respondent; Barbara J. Glenns, Esq. case Statement of Claim filed on: June 27, 1991. Claimant 's Submission Agreement signed on: June 24, 1991. Reply to Respondent's Motion to Dismiss filed on: October 15, 1991.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF' SECURITIES DEALERS In the Matter of the Arbitration Betvreen ) ) Mane of Raymond & Florence Sykes Name of Pognnnrkant-- i s \ Shearson Lehman Hutton, Inc. Case No. 91-02016 For Claimants, Raymond and Florence Sykes ("Sykes"): gcg sg. For Respondent, Shearson Lehien Brothers, Inc. ("Shearson"): Scott Almas, L.A. of Shearson. Statement of Claim filed on: June 27, 1991. Claimants' Submission Agreement

N.A.S.D. CREER NS33CHAL ASSQCXAXIC&T OP M4iiVuMfc1 J. anri T. p. D No. 91-02006 Of Idnd-Walctock Securities, Inc. FOOT Claimants* Mirfiaoi j. 133 T^MTran^q appeared pro ae CD, v^haif of the For Reepcodent Llnd Waldocte Securities r Inc.: Mark Boyle, Esq. and Cheryl Fltzpatridc, Esq. of Respcodent Andrea T.ap»a»> ^aHioH to "M"^^ at the hearing, and has f**!** to file a Submission to Arbitration, and has also ^^TQH to file an answe

H.A.S.D. AHRRD NBTICNAL ASSQCTKTICN OF SBCDRTTISS DEALERS In the Matter of the Arbitration Between Tbe Raumgarteer Family Trust Claimant (s) 91-02003 Glenf ed Brokerage Services Respcodent (s) Fear Claimant: James F. Robinson, Esq. Far Respondent: Joel Dwark, Esq. of Everakes, Spicer, lax, Wildman, Iborfc & Dickson Statement of rijHm filed: June 27, daimant's Submission nrprmrnt signed by Vicki B. Canpbell, Trustee of Tba Baumgartaar

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant D.E. Frey & Company, Inc. and 00-05213 Denver, Colorado Name of Respondent James J. O'Brien REPRESENTATION OF PARTIES D.E. Frey & Company ("Claimant") was represented by Kenneth R. Bennington, Esq., Bennington Johnson & Reeve, P.C., Denver, Colorado. James J. O'Brien ("Respondent") was represented by William D. Nelson, Esq., Rothergerber, Jo