Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant James H, Savage Case No. 98-00582 Names of Respondents Fairchild Financial Group, Inc. f/k/a VTR Capital, Inc. Peter Miluk Edward J. McCune Randolph Pace REPRESENTATION OF PARTIES For James H. Savage, hereinafter referred to as "Claimant": Andrew P. Campbell/JEsq, and Caroline Smith Gidiere, Esq. of the law firm of Campbell, Waller & McC

Rfegion f\j A- S Volume !k.Nmnbftr Z ^CI&U' Year^ Arbitration N.A.S.D. AWARD National Associettion of Sacuritiss Dealers, Inc. Suite 1680 NATIONAL ASSOCIATION OF SECVRITIES DEALERS Three First National Plaza Chicago, IL 60602 !312) 899-4440 In the Itetter of the Arbitration Betv^n Name of Claimantfs^ CKS Securities 90-00161 Name of Respondents Michael Adcox In a statement of claim filed with the NASD on or about January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI£RS In the Matter of ftie Arbitration Betvreen Name of Claimant(s) CKS Securities, Ire, 90-00158 Name of Respondent(s) Ronald McBrocm Region. Number, .Yfig..^ Arbitration H^ilgOd) National Association of Securities Dealars, Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312)899-4440 CASE SUMART In a claim filed with the NASD on or docut Janouaty 16

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fahnestock & Co., Inc. Claimant(s) vs . Don Rinaldi Respondent(s) NOTICE OF ARBITRATION AWARD 90-00146 CASE SUMMARY Claimant{s) Fahnestock & Co,, Inc. alleged that Respondent{s) Don Rinaldi has not paid Claimant amount owed in debit balance. Respondent has not answered claim. RELIEF REQUESTED Claimant(s) Fahnestock & Co., Inc. requested dama

Region, Volume__ NASa ® Arbitration N.A.S.D. AWARD NATIONAL y^SaXPOEN OF SECURITIES DEALERS Nationaf Anodttlon ot SocuritiMOoaioni, Inc. NASD Financial Center MF?IJPl^,^JKWk 10004 In the J\/later of the Arbitration Between I3aiie_of Claiinant Fred DePietro Name of Respondents Shearson Lehman Hutton, inc. Rhonda Drivstuen CASE SUMMARY 90-00129 Claimant Fred DsPietxo ("Claimant") alleged tot Pespondent Rhonda

N.A.S.D. AWZ\RD NATICNAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf^) Wellshire Securities, Inc. Name o^ Respondentfs) Steven Herbstman CASE #90-00110 Heard before the members of the Arbitration Panel; Mr. Edward S. Boslow III CASE SUMMARY This claim was filed with the NASD, Inc. on January 8, 1990. Hie hearing was conducted in Fort Lauderdale, Florida on October 2, 1990 with a total

Arbitration ® National Auoclation of N.A.S.D. AWARD S^^as^S^^'B&vard Suite 1000 Ft. Lauderdale. Roridi 33301 NATIOIAL ASSOCIATICW OF SECURITIES DEALJE31S (305) 522-739^ In the Matter of the Arbitration Sef^e^n ) ) Name of nlaijtiantf David A, Tracy Name of Respondentfs^ Dean Witter Rsyroids, Inc, Steve A. Must Case ND. 90-00028 Heard before the manbers of the Arbitration Panel i Kathleen Sag^tt Onurch public William G. Klin

c N.A.S.D. AWARD Ivi/VriONAL ASSOCIATICN OF SBCURTTIES DEAI£RS In the IVfeia- of th9 Arbitration BetwsKi Name nf Claimant-(s ^ Lori H-uettelrraier 89-99908 Name of Reaponrloni-(s | ^ | j • Li U Sheaxson Lehman Hutton, Inc. • — •'C'J-CHICAGO TASK STIMMARY In a claim filed with the National Association of Securities eMpc. ("NASD") about l-tiv^rter 28, 1989, Lozi Huettal^mier ("Claimant") alleged 4iat Shearson Lehman Hutton, Inc. ("Re

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Robin Brown Claimant Prudential Bache Securities, Inc. And E. Thomas Byrd Respondents AWARD #89-99907 CASE SUMMARY The Statement of Claim in this matter was filed with the NASD on September 9, 1989. Claimant, Robin Brown, alleged that Respondents, Prudential Bache Securities, Inc. and E. Thomas Byrd breached their fiduciary duty towards her when Mr. Byrd churned her options account which

NATICNAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter cf the Arbitration Betwe--" EDWARD T. STRE'^-AL Claimant SHEARSON LEHMA'. HUTTON, INC., AND GENEVA BAILEY Respondents CASE NO. 89-99904 In a c]e.v? Edward T, Streh'a: trading accourt ("Shearson"). "' CASE SL^MARY Tiled with the NASD on or about March 31, 1989, Claiinant i ("Strehlau") alleged that he suffered losses in an options opened at Respondent Shearson