N.A.S.D.AWARD NATIONAJ. ASSOCIATION OF SECURITIES DEALERS In the Matter ofthe Arbitration Between Merrill Lynch, Pierce, Fenner & Smith, ]nc, Name nf Resnoi^f^ent Brian Anthony Kirk In the Matter ofthe Arbitration Between Name of Claimant Brian Anthony Kirk 92-01699 (consolidated with 9343095) Name nf Resnondent Merrill Lynch, Pierce, Fenner & Smith, Inc.; Irving Silver; and Randall Gibbs RKPRKSENTATIQN For Claimant/Respond

PUBLIC N.A.S.D. AWARD I NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Consolidated Matter of the Arbitration Between N^my Clflinwiffff Edward J. O'Connor CONSOLIDATED AWARD John J. O'Connor, Jr. Donald E. Florence 92-01261 92-01275 vs. 92-01280 Name of Respondents Robert Todd Financial Corp. Steven Cloyes Steven G. Kashian CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 10,

NATIONAL ASSOCIATION OF SECTIRITTF.S DRAI VRS In the Matter of the Arbitration Between Nam? 9f Claimant Thomas L. Stafford vs. AWARD #92-02083 Name ofRespondem National Financial Services Corp. In the Matter of die Arbitration Between Warns qf Claimants Signet Investment Corporation n/k/a Signet Financial Services, Inc. Signet Bank/Virginia vs. AWARD #93-02573 Name of Respondent Thomas L. Stafford The above captioned cases

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between • • Name of Claimants '" Gregory and Houda Bracewell vs. ,* #98-00703 Name of Respondents Great American Financial Network, Inc. Bailey E. Spears, Jr. REPRESENTATION OF PARTIES Claimants Gregory and Houda Bracewell ("Claimants") appeared pro se. Respondent Great American Financial Network, Inc. ("GAFN") did not appear. Respondent Bailey E. S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS Name of Claimants Thomas Haverstock, Michael McCarthy Bradley Krey, and Richard Paulson vs. Name of Respondent/Third Party Claimant Citicoip Securities Mailcets, Inc. vs. Third-Partv Respondent Donald Wallace 91-02032 (consolidated with 91-02239, 91-02038, 91- 02039) REPI^ENTATION OF PARTIES Claimants, Thomas Haverstock in case number 91-02032, Michael McCarthy in cas

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS Name of Claimants Thomas Haverstock, Michael McCarthy Bradley Krey, and Richard Paulson vs. Name of Respondent/Third Party Claimant Citicoip Securities Mailcets, Inc, vs. Third-Partv Respondent Donald Wallace 91-02032 (consolidated with 91-02239, 91-02038, 91- 02039) REPI^ENTATION OF PARTIES Claimants, Thomas Haverstock in case number 91-02032, Michael McCarthy in cas

N.A.S.D. AWAKD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants Thomas Haverstock, Michael McCarthy Bradley Krey, and Richard Paulson vs. Name of Respondent/Third Party Claimant Citicorp Securities Maricets, Inc. vs. Third-Partv Respondent Donald Wallace 91-02032 (consolidated with 91-02239, 91-02038, 91- 02039) REPI^ENTATION OF PARTIES Claimants, Thomas Haverstock in case number 91-02032, Michael McCarthy in cas

PUBLIC NATIONAL ASSOCIATION .OF SECURITIES DEALERS, INC. 0^ In the Matter of the Arbitration Between Verdis Cook VS . Kober Financial Corp, Dan Ratts Deborah Neuner AWARD Claimant CASE #91-01703 Verdis Coolc vs. Kober Financial Corp .S: Dan Ratts Consolidated with CASE #91-01704 Verdis Coolc vs. Financial Corp & Respondents Deborah Neuner CASE SUMMARY In a claim filed with the National Association of Secu;rities

AWARD NASD Dispute Resolution In the Matter ofthe Arbitration Between Claimants Joseph T. Negler TTEE and Joseph T. Negler 2000 Charitable Remainder Trust V. 02-02248 Denver, Colorado Respondents A.G. Edwards & Sons, Inc. and George R. Tamm Claimants Negler Family LLLP and Jessica Rose Johnson 02-07726 (Consolidated with 02-02248) V. R espondents A.G. Edwards & Sons, Inc. and George R. Tamm REPRESENTATION OF PARTIES Jos

N.A.S.D. Regulation, Inc. AHARD NATIONAL AfiSOCIATIOH OF SEGHRITIBS DEALERS RESDLATION, Inc. In the Matter of the Arbitration Between Namp gf '^''flip'*!?*" Steven Sowieja 94-04227 consol. «r/ 94-04465 Name of Reapon^en^a Stratton oakmont Inc. Ira A. BoBhnack Eric Blumen Adler, Coleman Clearing Corp. Name of Counter-Claimant Stratton Oakmont, Inc. Name of CounterRegpondant and Third oartv Respondent Steven Sowieja Paceset