^IIIIO ^3 N.A.S.D. ia-JARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the I'latter of the Arbitration Between Painswsfcter, Inc. V Lovell 3r.axton Northern III 90-02425 1' For Claimant: Judy Loiiie, Esq. PaiJWrtBbter, Inc. For Respondent: In Pro Se Statarent of Claim filed: August 31, 1990 Claimant's Sutmiss ion Agreenent signed on: y^iLg^ 27, 1990 $tat.3Tent of .Answer and Counter Claim filed hy Respondent onJDecember 19, 1990

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-04531 Elizabeth M. Copeland, individually, and as Trustee and Beneficiary of the Elizabeth M. Copeland Revocable Living Trust under agreement dated 12/12/95 Names of the Respondents Hearing Site: Tampa, Florida Merrill Lynch, Pierce, Fenner & Smith, Inc., a Delaware corporation Prudential Securities, Inc., a Delaware corporation

y.A.s.D. MMm NAXICMAL ASSOCIATICK OF SECDRITIES DEALERS in the Matter of the Azbitratioa Between M«n>e of CnaHTTWTii-^g) Genevieve V. Creskey BeeQ, Trustee Dorothy strumfeld, Trustee Nane of Rescxgdect (s) Argua Securities, inc. Basil Alliacn Case No: 90-02394 90-02409 For daimants, Genevieve V. Creslcey Beal, Tnistee ("Beal") and Dorothy Strumfeld, Trustee ("Strumfeld"): David ^precace, Esq. of Haas, Austin, Ley, Roe & £tets)co, P.

N.A.S.D. AWARD NATIONAL ASSOCIATICS^J OF SECURITIXS tSAIXRS In the Matter of the Arbitraticn Bstwsen Andarscn Bryant & Co,^ Inc. Debtor, L. Winn Holhrook, Ttustee 90-02402 Boucher, Oshmke £ C-uinn Boiacher-Oehmke Investments Donslti E. Oshinke Bryce EC'UCher Claimant L. Winn Hollhrook, Itustee, was represented by William B; Federman, Esq., of Day, fiewett & Fedemm, 0)dahQma City, Oklahcm. Respondents dia not tiie an ^pearance. In

90-02189 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAI.ERS In the Matter of the Arbitration Between Name of Claimant(s) Prudential-Bache Securities, Inc. Pnidentiai Securities Group, Inc. Name of Respondent(.s) Stephen R. Cordill REPRESENTATION For Claimant Prudential-Bache Securities. Inc. and Prudential Securities Group. Inc: Gilbert Boyce. Esq. of the law fiim of Kutak Rock. For Respondent Stephen R. Cordill: Victor C. Busheil

NASa Arbitration NationalAs«ocia lion cf S«curitiM Dealers, Inc. NASO Financial Center 33 Wliiteliall Street New York, New York 10004 October 14, 1991 Garry J. Stegeland, Esq. PaineWehfcer Inc. 1200 Harbor Blvd. Weehawken, NJ 07087 Subject: NASD Arbitration Number 90-02104 PaineWebber Inc. vs. Jon Vargo Dear Mr. Stegeland: As per you request, enclosed please find signed copy of the above-captiored award. Very trul

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between x X PaineWebber, Inc. x Claimant x X CASE NO. vs. X 90-02039 X James White x AWARD Respondent x X CASE SUMMARY Claimant, PaineWebber, Inc. ("PaineWebber"), alleged that the Respondent, James White ("White"), placed an order to purchase 1,000 shares of Pier 1 Imports, Inc., and thereafter refused to pay for the stock. PaineWebber alleged th

N.A.S.D. AWARD NATIONAL ASSCCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of ClaijtiantJ.g) Prudential-Bache Securities Inc. 90-02016 Name of Respondentfs) James Berkstresser Claimant Prudential-Bache Securities, Inc. was represented by William A. Heaiy of Prudential Securities, Inc., New York, Afeiv York. QSSE aiecwnr In a Statarent of Claim filed with the National Association of Securities Dealers, Inc

DEC 18 '91 16: IS Po^t^lt^brand fax transmittal memo 7671 BipT < * of P«fl— » < ^ Pram 7*77 p. 1 Arbttraflofi Nattonal fti»oelatlon oT Securities Dealers, Inc. NASD RnanciaJ Center 33 Whitehall Street New Yof1< , N.Y. 10004 FAX (212) 658-4389 Dttoeni)er 17, 1991 Bodbat, KMaoan 6 DoCfy 50 BXOBd StXMt Suite 1737 i7a« YCiA, are 10004 Subjeoti laSD AiS^ltratloQ NUficbec 90-02003 Ckviiobeiattr & 09. 2&o. vs. Mtof

NATIONAL ASSOCIATION OP SECDRITIES DEALERS, INC. In the Matter of the Arbitration Between James T. Quade Claimant vs Merrill Lynch, Pierce, Fenner & Smith, Inc. Randall Stender AWARD NASD NO. 90-0 '1970 Respondents REPRESENTATION Claimant was represented by Donald K. Armstrong, Esq. of the firm of Armstrong, McCullen S: Philpott, P.C., and respondents were represented by R. Alan Wight, Esq. of the firm of Miller, Nash, Weiner,