NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John H. Henkin & Ruth S. Henkin/ Char Family Trust Claimant vs. Rauscher Pierce Refsnes, Inc. and Larry R, Mitchell Respondent Award Case #90-02307 CASE SUMMARY John H. and Ruth S. Henkin on behalf of the Henkin Family Charitable Remainder Trust/ in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990,

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Name of Claimants Earnest & Gennell Lewis vs Nama of Case # 90-02305 Shearson Lehman Hut ton, Inc. Heard before: Name Christopher J. Moran, Jr., Esq. Pnhl in Public - Chairperson

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Itotter of the Arbitration Between Margaret Harvard Vogelson 90-02303 Name of Respondents Dean Witter Reynolds, Inc. Wesley Jennison For Claimant: Appeared pro se. For Respondents: Carol B. Schachner, Esq. in-house counsel at Dean Witter Reynolds , Inc. ("CWR") Statement of Claim filed: August 21, 1990. Claimant's Sutmission Agreement signed on: August 9, 1990. Joint St

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Arthur Smalley Claimant vs . AWARD Stuart-James Investment Bankers R 11. < = 5 o i_ j_ _a j_ vis Larry Hill Respondents CASE #90-02302 CASE SUMMARY Pro Se Claimant, Arthur Smalley, in a claim filed with the National Association of Securities Dealers, Inc. on August 21, 1990, alleged that Respondents Stuart-James Compan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS- In the Matter of the Arbitration Between j ) Name of Elvis L. and Virginia L. Wilkinson ) ) ) Case No. 90-02300 ) Name of Respondent. ( s ) ) ) Smith Barney Harris Upham & Co., Inc . ) Mark R. Sorensen ) Heard before the mambers of the Arbitration Panel: David A. Townsend, Esq. Public Sam Giunta Public Kathleen Baggett Church Industry Claimants, Elvis L. and V

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitrarion Betv^en Name of Claimant t s \ Thomas & Charlotte Johnston 90-02299 Name of R^gpfffTflpnt (s) Prudential-Bache Securities Inc. Don P. wyse . For Claimant: Walter S. Weiss For Respondent:Neil S. Robb Statement of Claim filed:August 21, 1990 Claimant's Sutmission Agreement signed on:August 13, 1990 Statement of Answer filed by Respondent, on: Feb

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-04845 Tasin and Company, Inc., claimant vs. Frantz Joseph Scutt, respondent. ATTORNEYS: For Claimant appeared Ernest E. Badway, Esq., Saiber, Schlesinger, Satz & Goldstein LLC, Newark, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: November 1, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to repay the balance owed on a promissory note. AR

Q N.A.S7IT. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIZRS In the Matter of the Arbitration Between ) Name of naiTTv^nf,fR) ) > ) Nelson D. Brungart Charles 0 Brungart Name of Respondent (si Stuart Janes Company, Inc. Ben Silva John Beaird Heard Before the Arbitrator: Casey Mills, Esq. Arbitration National Association of Securities DMtor», Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between \ Name o£ 90-02296 George G. Vtood Name of Respondent Donald Rory O'Rourke For Claimant: John P. Connolly, Esq. For Respondent: Robert Dougherty, Esq. rasp Statement of Claim filed: August 20, 1990. Claimant's Submission Agreement signed on: September 21, 1990. Statement of Answer filed by Respondent Donald Rory O'Rourke on: J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Margaret Solomon, Claimant and Blunt Ellis & Loewi f Inc. Jeffrey Murray, Respondents 90-02281 REPRESENTATION OF pAflTIES Claimant Margaret Solomon was represented by Jeff Ross of Parinen Bowman & Levy P.A., Minneapolis, Minnesota. Respondents Blunt Ellis & Loewi, Inc. and Jeffrey Murray were represented by Don Conley of Qua