Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04532 Alan and Lisa Kabus, Joint Alan Kabus Lindsey Kabus Custodial Account Matthew Kabus Custodial Account Alan Kabus, IRA Names of the Respondents Hearing Site: Atlanta, Georgia Financial Network Investment Corporation Leavitt F. Sanders Leavitt Financial Group, Inc. REPRESENTATION OF PARTIES For Alan and Li

N.A.S.D. AWARD NflTIONAL ASSOCIATIC»l OF SECURITIES DEALERS In the Matter of the Arbitxation Between Namft of rlaimantrs^ Prudential-Bache Sec\arities Inc. 90-02819 Name Rosyonrk^nl-f s) Mark Alan Helsing Clainent was represented by Robin Nachman, Esq.. Respondent represented himself. CBSE sngMcr This natter v?as initiated ty a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on October 10, 19

N.A.S.D. AWARD NATIC3NAL ASSOCIATICN OF SECURITIES DEALERS In the ]VfellEi- of the Arbitration Between Name of Claimant's) Bruoe B. Allen, II \ 90-02931 Adams Securities, Inc. For Claimant: Bruce B. Allen, II of 1517 Seal S&d Beach, CA 90740 For Rasporxient! H. Thorns Fehn, Ssq. of Fields, Fehn & Shexwin, 11755 Wilshire Blvd., 15th Floor, Los Angeles, CA 90025 Statement of Claim filed: October 19, 1990 Claimant's Sufcrnission Agreansnt signed

N.A.S.D. STIPULKIED AWARD NATICNAL ASSCX:iATICM OF SECURITIES DEAI£RS In the flatter of the Arbitration Between Dean Hitter Reynolds, Inc. 90-02918 Lisa Brown For Claimant/Counterrespondent: Frederick A. Rafeedie, Esq., c£ Jones, Bell, Simpson & Abbott For RBf^pondent/Counterclaijnant: Barry H. Alper, of Investors ArbitratiCTi Services, Inc. Stateroant of Claim filed: Octcber 18, 1990 Claimant/Counterrespondent'8 Submission Agreement signed

r NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. / In the Matter of the Arbitration Between Catherine Wade ) Claiinant ) AWARD vs Dennis Head and Newportfolios Securities Corporation Respondents i ) NASD NO. 90-027 7 4 REPRESENTATION Claiinant was represented by Michael L. Pickering cf JerTa.Ld K. Pickering, A Law Corporation and respondents were represemtea by Dennis Head of Newportfolios Securities Corporation. SUMMARY

N.A.S.D. AWARD NATIONAL ASSCX:iATICN OF SECURITIES DEALERS In the Iv/^fer of the Arbitration Betvreeri Sutro & Co., Inc. vs. 90-02726 Name of RegriP|y^i-(g | William Alan Held For Claimant: Gilbert R. Serota, Esq., Howard, Rioe, Nanerovski, Canadjr, Robertson & Falk, Three Elrbarcadero Center, 7th Floor, San Rancfea^ CJL 94111 For Respondent: John E. Hill, Hill, Schwartz & Stenson, 472 Jackson Streei:, San Francisco, CA 94111-2172 Statemen

N.A.S.D. AWARD NATICNAL ASSCX:iATICN CF SECURITIES CEAI£RS In the Matter of the Arbitration Between Name of riaimantif a ^ Prudential-Eeche Securities Inc. 90-02584 Evellyne F. Terzian Heard before: Public/Industry Diane G. Davis Industry Lewis C. Brown Industry Linda Lss weber Industry CASE snwmrr This matter was initiated by a Statement of Claim filed with the National Association of Securities Dealers, Inc. ("NASD") on Seo

NATIONAL ASSOCIATION OF SECDRITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Scott Kramer Claimant ) vs . AWARD NASD #90-02480 FN Investment Center ) 'Claudia Massie ) Respondents I ) REPRESENTATION Claimant was represented by Cynthia L. Rubin, Esq. of Goldfarb, Sturman, Averbach & Sturman, Encino, California; Respondents were represented by W. Joseph Strapp, Esq., and Anne M. Giese, Esq., of Littler, Mende

1 NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. AWARD NASD #90-02451 In the Matter of the Arbitration Between Catanzarite Securities, Kenneth Catanzarite Catanzarite S: Co. Claimants vs . Wedbush Morgan Securities, Inc. Respondent REPRESENTATION Claimants were represented by Kenneth J. Catanzarite and C. Timothy Smoot of Catanzarite Law Corporation, Anaheim, California. Respondent was represented by Terry Ross and Kathry

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Rauscher Pierce Refsnes, Inc. tjania of Respondent Sol Kirschner 1 r 90-02429 E Rauscher Pierce Refsnes, Inc. was represented by Bruce W. Collins, Esq. of Carrington, Colemann, Slonan & Blumenthal, Dallas, Texas. Sol Kirschner was represented by Marc R. Stanley, Esq. Stanley, Pronske & Trust, P.C., Deillas, Texas. CAS