NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of Prudential-Bache vs. Matthew Winters the Arbitration Between : Securities, Inc. : Claimant : Respondent : : Award Case #90-01627 Heard before: Henry H. Hopkins Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 8, 1990 Claimant Prudential-Bache Securities Inc. alleged that on or about July

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Bellamah, Neuhauser & Barrett, Inc. Claimant vs. Roger E. Horst MODIFIED AWARD CASE# 90-01452 Heard before: Robert Kent, Esq. Respondent Industry Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 22, 1990, Claimant Bellamah, Neuhauser & Barrett, Inc. alleged Respondent was a salesma

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter Dale Legg and ] of the Arbitration Between and Virginia Campbell vs. Claimant(s) Mason Wood Walker, Inc. Donald L. Lomax Respondent(s) NOTICE OF ARBITRATION AWARD 90-00871 CASE SUMMARY Claimant(s) Dale and Virginia Campbell alleged that Respondent(s) Legg Mason Wood Walker, Inc. and Donald L. Lomax ignored Claimants' requests for low risk investment

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between First of Michigan Corporation Claimant : CASE# 90-00667 vs. Robert F. Gursky Respondent Heard before: Richard L. Coskey Industry Arbitrator Robert A. Leake Public Arbitrator David M. Piatt, Esq. Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 5, 1990 Claimant First of Michigan

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Philip F. Bombace, Claimant v. Northwestern Mutual Life Insurance Company, Robert W. Baird & Co. Incorporated, Steven E. Smith Agency, Steven E. Smith and James E. Tippetts, Respondents Case Number: 01-05247 Hearing Site: San Francisco, California Nature of the Dispute: Customer vs. Member, Non-Members and Associated Persons REPRESENTATION OF PARTIES For Claimant: Joel H. Siegal

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Soumek Saleman, Claimant v. T.D. Waterhouse Investor Services, Inc. and Matina M. Hay, Respondents Case Number: 01-05245 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Soumek Saleman In Propria Persona Los Angeles, California Jennifer A. Zolezzi, Esq. Jones, Bell, Abbott, Fleming, & Fitzgerald L.L.P. Los

Fini FINRA DR A M E N D E D AWARD In the Matter of Arbitration Between Case: Roger Neal Smith v Salomon Smith Barney Docket: 2001-009675 Attorneys: For Claimant(s): D. P. Sindicich - Rediands, CA Leodis C. Matthews - Los Angeles, CA For Respondent(s): Elizabeth H. Lindh - Long Beach, CA Date Filed: 12/3/2001 First Scheduled: 09/25/2002 Decided: 8-06-08 Case Summary: Former employee against member firm for compensatory

Finra^ FINRA DR In the Matter of Arbitration Between Case: Barbara Kole v Salomon Smith Barney and Roger Erichsen Docket: 2002-010791 Attorneys: For Claimant(s): Erwin Cohn - Chicago, IL Timothy Fell - Garden City, NY For Respondent(s): Daniel Korb - Florham Park, NJ Date Filed: 9/12/2002 First Scheduled: 05/19/2003 Decided: 8_o6_o8 Case Summary: Customer against member firm for unauthorized tradings, churning, unsuitable purchases and negli

Award NASD Dispute Resolution In the Matter of the Arbitration Between: 01-05242 Victor Delgado and Stacey Delgado fl T?^c:pnnrTp^t< - ^pqrjr|g ftfoft' Houston, Texas The Concord Equity Group and Edward Paul Galvan PAKTTF.S Claimants, Victor Delgado and Stacey Delgado, hereinafter collectively referred to as "Claimants": Regan D. Pratt Esq., of Clements, O'Neill, Pierce, Wilson & Fulkerson, L.L.P., located in Houston, Texas. Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALE!RS In the Matter of the Arbitration Between Name of Claimant PaineWebber Inc. 95-02691 Name of Respondents Brian Wainstein & Leslie K. Everett In a claim filed with the National Association of Securities Dealers, Inc. on June 2, 1995, Claimant PaineWebber Inc. ("Claimant"), through its representative and in-house counsel, Catherine Pratt, Esq., alleged that Respondents Brian Wainstein a