N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Smith Barney, Inc. Steven Lewis Sellman Case Number 94- 05118 (consolidated with 95-00193, 95- 00779, 94-05373 and 95-02297) Name of Respondent Haipert and Company, Inc. REPRESENTATION For Claimants Smith Barney, Inc., Steven Sellman, Ronald Triefler, Michael Lieberman, Raymond Sammak, Sean Davis and Alan Gudz

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00599 Darlene J. Schwartz, claimant vs. Scottsdale Securities Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - South Euclid, OH. For respondent appeared Mark Finnegan - St. Louis, MO. DATE FILED: 2/17/98 CASE SUMMARY: Claimant alleged negligent failure to execute change order in a timely fashion. Claim Data Award Data Claim: $4,350.00 Award: $4,350.00 Filing Fees: $.00 Filing Fees: $125.00

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kim Feddick, and Mesa Produce, Inc. /Pension Plan & Trust, Claimants, Consolidated No.s 95-01677 95-01675 Norcross Securities Inc., and Stuart O. Bates, Respondents. REPRESENTATION OF PARTIES Kim Feddick ("Feddick"), Mesa Produce, Inc. ("MPI"), and Mesa Produce Brokers Inc. Profit Sharing Plan & Trust ("MPBI") (collectively referred to

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants ' " Jung K. Koh & Catharina Koh . 98-00598 Name of Respondents La Salle St. Securities, Inc.; and Young Koh REPRESENTATION For Claimants: Jung K. Koh and CatharinaKoh ("Koh") were represented by Erwin Cohn, Esq. of Cohn & Conn, located in Chicago, Illinois, For Respondents: La Salle Street Securities, Inc. ("La Salle") and Young Koh ("Y. Koh") were

r N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Consolidated Award Henry C. Wheelwright c/f Emily Watson Wheelwright 95-01631 Lee Adams Wheelwright and Heiuy C. Wheelwright 95-01633 Henry C. Wheelwright c/f Mark C. Wheelwright 95-01635 Name of Respondent Michael C. Nolan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Consolidated Award Henry C. Wheelwright c/f Emily Watson Wheelwright 95-01631 Lee Adams Wheelwright and Henry C. Wheelwright 95-01633 Henry C. Wheelwright c/f Mark C. Wheelwright 95-01635 Name of Respondent Michael C. Nolan CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 4, 1995, Claim

Award NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant Thelma E. Drennon, Trustee, Thelma E. Drennon Revocable Living Trust v. 98-00594 Name of Respondents A.G. Edwards & Son, Inc., and Bradley Goodnight REPRESENTATION OF PARTIES Representing the Claimant, Thelma E. Drennon, Trustee, Thelma E. Drennon Revocable Living Trust, hereinafter referred to as "Claimant," was lohn J. Merritt, Esq., Grass Valley, Cal

Q O N.A.S.D. mm NATICNAL ASSOCIAnGN OF SECURITIES DEAUERS In the Matter of the Arbitration BetMeen Name of Plaimanti/s^ Eva Strine, individually and as cxHtmstee vd.t:h Josq^ Penza of the Helen Strine Quirm Trust. Case No: 89-01455 90-00746 Name of Rpgpnr^dBntf Shearson LehroBoi Button, Inc. C. Lynn Abel Heard before the nenbers of the Arbitration Panel: Casey W. Hills, Esq. Public Judy Avey Public Richard H. Rcmalsk

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimants Ned and Lois White v. 98-00591 Barren Chase Securities, Inc., Louis Nizza, and Thomas Joseph Littleton, Jr. For Claimants, Ned and Lois White: Robert S. Banks, Esq., Portland, Oregon. For Respondent, Barton Chase Securities, Inc.: Eugene Michael Kennedy, Esq., Ft. Lauderdale, Florida. CASE INFORMATION Claimants filed the Statement of Claim on or ab

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Keith Ballard Respondent CASE #90-02009 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 20, 1990, Claimant Dean Witter Reynolds, Inc. through its in-house counsel B. Carole Hoffman, Esq., alleged that Respondent Keith Ballard has failed to pay monies