® NA.S.D. APiARD NATICHaL ASSOCIATICN OF SBCUKITIES DEALERS In the IVkatar of the Arbitration Between Name of d^rrert Gruntal & CO. , Inc. Waanae of Respoodents Robert J. O'Brien Rickel & Associates Kevin Haase Dermis Corrigan 91-03052 Arbitration National Association of Securities Dealei's, Inc. NASD Financial Center 33 Wiiiteliall Strettt New York, N.Y. 1C004 FAX (212) 858-4389 For Claiinant Gnmtal & Co.,

N ASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between National Association of Securities Dealers, Inc. Name of Claimant Gregory K. Breaux All Rights Reserved 95-05567 Name of Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Bill Seale CASE S - Y In a claim filed with the National Association of Securities Dealers, Inc. on November 27, 1995, Claimant Gregory K. Breaux ("Breaux"), all

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name n f C \ . Earl C. Townsend, Jr. and 95-055?:; Name of Respondent ^Wall Street Investor Services, Inc. David Warren David Garman REPRESENTATION OF PARTIES Earl C. Townsend, Jr. ("Claimant") was represented by Earl C. Townsend, Jr., Esq., Townsend &: Townsend, Indianapolis, Indiana. Wall Street Investor Services, Inc. ("Respondent Wall

cnff N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECUSITIES DEALERS IQ the Matter of ^ Aibitration Between Estate of James M. Steele Afton D. Steele Joyce Engelbert Gail M. and Elizabeth R. Olofson Virginia A. Asti Robert J, Deissler Fred G. and Katharine D. Erie Raymond Kolojaco Robert J. and Bonnie F. MacKay Bumice J. McComas Kay A, Rinke Agnes E. Spera 95-05628 ame of Respondents Delta First Financial Inc. Patricl

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04553 Marie Therese Menelas, claimant vs. Citicorp Investment Services and Shelton Johnson, respondents. ATTORNEYS: Claimant appeared pro se, Brooklyn, NY. For Respondents appeared in-house counsel Jennifer Sendor, Esq., Long Island City, NY. DATE FILED: August 2, 2002 CASE SUMMARY: Claimant alleged that respondents made investments that were unsuitable for her and misrepresented fac

From ; 05-08-1992 g4:43Pt! FROM 201 238 7388 ^ ^ / PHONE No. : TO 1201: 747 , 02 IsUkSD ArbltraUen mOICMMi ASSOCiallCN OT SaCWRlTIES DERLBRS fti the Matter of tl*e A*bit*»tio» Bea< w«i National Association of $Aeurltl6t DMiars, Inc. NASD F^nandft* CtsfHer 33 Whitehall Street NBW York, N.Y 10004 PAX (212) 958-4339 S» Wittair RsynoKIs mo. 91-03039 Per ClaiB«nt Deeia Witt^e BaysaoldB Uao. (wClaiwmt'O t Soott T. Baleen,

N.A.S.D. AWAJW ^ " NATIONAL ASSOCTATTON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaimantCsl Robin J. Dezember, as Trustee for the Norris E. Powell Trust NASD Arbitration No. 91-02661 Name of RespondentCs't Sutro & Co., Inc. REPRESENTATION For Claimant: Mitchell S. Ostwald, Esq., Seaman, Seaman & Ostwald, Sacramento, Califomia For Respondent: Daniel D. McMillan, Esq., Jones, Day, Reavis & Pogue, Los An

NASD. ABARD NKnCCNAL ASSOCIAnCW OF SBCGRZTIES DEALEE2S In the Uatter of the Azbitration BetMem Name of daiTnant/Counterresrondent PalnpWefcber Ihoocporatied vs. 91-02654 Name of Resixindfflrit/Oount:eiir'Ta< ™"t/Ihird Party dalmant Frank R Venniro vs. Dnnnld T. Ballard Fbr Palni^Sfcbber and Donald T. Ballard: Incorporated, Los Angeles, Califomia jiifljMfla»jamxM Judy Louie, Esq., PalneWefcbca:, For Frank R. Venniro: Sacramento,

N.A.S.D. AKRRD NZ^CNAL ASSOdATICET OF SmiklTlES DE3VLERS In the Matt:er of the Arialtraticn Betareen name of Clainant (s) Prudential Securities Incorporated vs. 91-02626 Name of Respondent (s) John Biaggerty VSPBBSESSKmOS Far Claimant; Gary Klein, Esq. Fbr Respondents: No i^pearance by ReGpcndents CagB IHFCBMKEECW Statement of Claim filed: August 23, 1991 Claimant's Submissian Agreement signed cn: August 16, 1991 Statenent of An

NASXI. AHARD NAnCMAL ASSOCCATICN OF SliXIURiTlES DEALERS In the iVattsr of the Arbitration Betameen ilsir& of Claimant (s) Jade Eaxi>er vs, 91-02453 Name of RespoDdent(sji_ amim Barney, Harris, Dphnm & Co., Inc. vnamstarvKv i ry Pear Claimant! jack Steinberg, ESsq,/ Steinberg 6 Steinberg, Itiird and Tbion, 1210 Jo^li Vance Building, Seattle, m 98101 For Reapandent; David S. F^ednan, Esq., Smith Barney, Harris, U^ibain & Co., Inc., 333 West