o 0 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arthur and Lenore Olson; Estate of Donald Bezmett; Madeline Dantuzna; Ara Louise Olson; and E. Taliaferro French and Dorothy French Consolidated Case No.s 91-00635; 91-00637; 91-00653; 91-00663; 91-02068 Name of Respondents Mutual Service Corporation John M. Culbertson RBPRESENTanON OF PARTIES For Cla

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In Che Matter of the Arbitration Between Catherine L. Daidone, Gordon A. Soeder and Linda G. Smith Claimants vs. Sherman Fitzpacrick & Co., Inc. Respondent CASE #91-00342 AWARD Catherine L. Daidone vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITB CASE #91-00610^ AWARD Gordon A. Soeder vs. Sherman Fitzpatrick & Co., Inc. CONSOLIDATED WITH CASE #91-02105 AWARD

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael E. Wiseman Cathy D. Wiseman Claimants vs. Paragon Capital Corporation Mark Cohen Respondents CASE #90-03613 AWARD Michael E. & Cathy D. Wiseman vs. Paragon Capital Corp. & Mark Cohen CONSOLIDATED WITH #91-00039 David F. & Maria Zuppke vs. Paragon Capital Corp. & Mark Cohen CASE SUMMARY Pro Se Claimants, Mich

o o N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the fitter of the Arbitration Between ^SSe of Claimantfs^ Thonas J. Petere Leslie J. Schurr Peter A. Laneo Mary M. Swanson DeArle latere and Jeffrey J. Salaime Name of Respondentfs^ Princeton Financial Group Anthony J. Pontieri Jerry Frederick Shorthouse Charles Brimble Case Nos, 90-02932 90- 03202 91- 00066 91-00353 91-00536 91-

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: James E. Oyer and Charlotte E. Oyer (Claimants) v. Cadaret, Grant & Co., Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., Kevin L. Mahoney and Stephen R. Nugent (Respondents) Case Number: 02-03742 Hearing Site: New York, New York Nature of the Dispute: Customers v. Members and Associated Persons REPRESENTATION OF PARTIES Claimants James E. Oyer and Charlotte E. Oyer, he

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wachovia Securities, Inc.., v. Lawrence Diotallevi Case Number: 02-03741 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Wachovia Securities, Inc., hereinafter referred to as "Claimant": Jonathan E. Levine, Law Office of Daniel S. Fiore, Arlington, Virginia. Respondent, Lawrence Diotallevi, hereinafter referred to as "Respondent" appeared pro se. CASE IN

Award NASD Dispute Resolution In the Matter of the Arbitration Between: °f thf ^Iftinflnt p^fap Number' 02-03737 Randy George Sands Brothers & Co., Ltd.; Jonathan D. Manela; Martin Scott Sands; and, Steven B. Sands H>arm£ Sitfv Dallas, Texas NAT1TPF OFmSPTTTF. Public Customer v. Member Firm and Associated Persons Claimant Randy George, hereinafter referred to as "Claimant": Jeanne Crandall. Esq., of the firm of Beyna, Hinds & Crandal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03733 John L. DuRose Name of the Respondent Hearing Site: Albuquerque, New Mexico Waddell & Reed, Inc. REPRESENTATION OF PARTIES Christopher M. Moody, Esq. of the firm Moody & Warner, P.C. located in Albuquerque, New Mexico, represented Claimant John L. DuRose hereinafter referred to as "Claimant." Matthew R. Stammel, Esq. of the firm Vin

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf the rim'Tnantg Pase Number: 02-03732 G. Allen and Joyce A. Harmon Names of the "Respondents Rearing Sitfv Pittsburgh, PA Hefren-Tillotson, Inc. Melvin C. Pumphrey Edward J. Wetzel Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES Claimants, G. Allen and Joyce A. Harmon, hereinafter collectively referred to as "Claimants"

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Wachovia Securities, Inc. f7k/a First Union Securities, Inc. Name of the Respondent Joseph F. Zahner Case Number: 02-03728 Hearing Site: Orlando, Florida REPRESENTATION OF PARTIES For Wachovia Securities, Inc. f/k/a First Union Securities, Inc. ("Claimant"): Jonathan E. Levine, Esq., Law Office of Daniel S. Fiore, Arlington, Virginia.