K.A.S.D. AHARD NAinCNAL ASSOCna^CK OF SUUUUITIES DBUQtS in the Matter of the Azbltratioa Betuem Ifrfww of dai*"*"^** Virginia V. Balbert, Scndra L. Allen, GaiX Bishop, and David G. and Anne K. Pavelic Case #89-02581 #89-02582 #89-02583 #89-02584 ^me^^^e^codmts ghp^T-yi T^vwimn Biitton, inc. Richard Malzer, and Ricbazrd Cbmoy For daiztent: Deoise Davis SclMartanan, Esq. of (3reeefield & Cbiznicles and Fkank Lewis, Esq. of langen

K.A.S.D. AHARD NAinCNAL ASSOCUO^CK OF SUUUUITIES DBUQtS in the Matter of the Axbitratiaa Betuem Ifrfww of dai*"*"^** Virginia V. Balbert, Scndra L. Allen, GaiX Bishop, and David G. and Anne K. Pavelic Case #89-02581 #89-02582 #89-02583 #89-02584 ^me^^^e^ccdmts ghp^T-yi T^vwimn Biitton, inc. Richard Malzer, and Ricbard CSomey For daimant: Deoise Davis SclMartanan, Esq. of (3reeefield & Cbimicles and Fkank Lewis, Esq. of langeman

AWARD NASD Regulation, IBC. In the Matter of the Arbitration Between Nanie of Claimant MoubarK M. Sousfii, by his aTtoraey-in-fact, Bill Soussi NASD CASE NO. 9; Names of Respondents Interstate/Johnson Lane Corporation and David Campbell REPRESENTATION For Claimant: Mark P. Foster, Jr., Esq., Charlotte, North Carolina. For Respondents Interstate/Johnson Lane Corporation ("Dl/) and David; Campbell ("Campbell"): Pamela P, Waraement, Esq

K.A.S.D. JWABD minCNAL ASSOCUO^CK OF SUUUUITIES DOIQtS in tba Matter of tha Axlsltratloa Betu&m. Ifrmw of CLai*"*"^** Virginia V. BaOlsert, Scodra L. AUCQ, Gail Blabap, aod David G. and Anoe K. Pavelic Case #89-02581 #89-02582 #89-02583 #89-02584 ^me^^^gBgnrvlmta Ricfaazd Halzer, and Ricbard Comoy For Claiitant: Deoise Davis SclMartaaaBzi, Esq. of Greenfield & Cbisdcles and Fkask Lewis, Esq. of laugeuuau, Beganw Lewis & Maste.

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Leir Herschman v Salomon Smith Barney, Inc., Raymond Mealia, Linda Schaffer, Jack Gaglnne, Rosemary Francavilta, Elizabeth Kratka and Eric Spahr ^ Attomeys: For Clalmant(s): Edward H. Glenn, Jr. Esq. - New York. NY For Respondents): Marcie S. MIntz Esq. - New York, NY Date Filed: 03/19/1999 First Scheduled: 09A)9/ig99 Decided: 09/15/1999 Case Summary: Claimant, a forme

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00814 Rocky Rand, claimant vs. Joseph Charles, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Rochester, NH, For respondent appeared Arnold Levine, Esq., - Boca Raton, FL. DATE FILED: 3/2/98 CASE SUMMARY: Claimant alleged negligence and misrepresentation. Claim Data Award Data Claim: $4,093.50 Award: $.00 Filing Fees: $125.00 Filing Fees: $.00 Other: $.00 Other: $.00 AWARD: The undersign

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00813 Rains Maytag Limited, claimant vs. Charles E. Young and A.G. Edwards & Sons, Inc., respondents. ATTORNEYS: For claimant appeared J. W. Doolin, Esq. - Lawton, OK For Respondents appeared Jeff Jamieson, Esq. - St. Louis, MO. DATE FILED: 3/2/98 CASE SUMMARY: Claimant alleged failure to execute trade. Claim Data Award Data Claim: $3,000.00 Award: $.00 Filing Fees: $.00 Filing Fees: $62.50 Other

JflN.El.1999 11:13PM NO.553 P. 11 AWARD .NASD Regulation, Inc. In the Matter of the Arbitration Between Helen T. Seark - 98-00803 Names .of Respondents Rockwell Financial, Inc. Daryl Matthew a/t/a Daryl Matthew Alvarado REPRESENTATION For Claimant 1 Jeffrey F, Coleman. Esq., Gearwater, Florida. Rcspomknt Daryl Matthew a/k/a Daiyl Matthew Alvarado ("Matthew") appeared pro se, but lie did not attend the evidentiary hrwing. Resp

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02936 Eric M. Bonilla, Claimant vs. J.P. Gibbons & Co., inc., Respondent. ATTORNEYS: Claimant appeared Pro Se, Norwalk, CA. Respondent did not respond to the Statement of Claim. DATE FILED: July 12, 2000. CASE SUMMARY: Claimant alleged that the Respondent engaged in unauthorized trading, negligence, failure to supervise, errors/charges, manipulations, and misrepresentations. AR

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Brown & Company Securities Corporation v. Arbitration No. 98-00807 Name of Respondent Austin Shinohara and Lydia R. Shinohara REPRESENTATION For Claimant: Barry S. Fischer, Esq. Brown & Company Securities Corp. Boston, Massachusetts For Respondents: Austin Shinohara and Lydia R. Shinohara In Pro Per Palm Desert, California CASE INFOR