NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Susan Tremmel Young and Russell W. Young JTWROS and 94-03636 Name of Respondent B.C. Christopher Securities, Inc. REPRESENTATION OF PARTIES Susan Trenmiel Young and Russell W. Young JTWROS ("Claimant") appeared pro se. B.C. Christopher Securities, Inc. ("Respondent") was represented by J. Michael Vaughan, Esq. and Heidi R. Yo

N.A.S.D. AWARD NATIONAL ASSOCU'nON OF SECURITIES DEALERS In the Matter of die Arbitration Between Name of Claimant Jeffrey Smith 94-03619 Name of Restwndents D. Blech & Company David A. Blech REPRESENTA'nON For Claimant Jeffrey Smith ("Smith"), Lloyd Schwed, Esq. of Hertz, Schram & Saretsky, P.C, West Pabn Beach, Fl. For Respondents D. Blech & Company ("DBC") and David Blech ("Blech") L. Van Stilhnan. Esq. of Boca Raton, Fl. CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Bmce E. Schmidt, Emil H. Schmidt, Barry Scott, Darrin B. Schmidt, Mariene H. Schmidt, Tammy Sue Schmidt Wolverton and Marty Lee Schmidt Name of Respondent AG. Edwards & Sons, Inc. 94-03616 REPRESENTATION Bmce E. Schmidt, Emil H. Schmidt, Barry Scott, Darrin B. Schmidt, Mariene H. Schmidt, Tammy Sue Schmidt Wolverton a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Bruce A. Elick, (Claimant) vs. Edward D. Jones & Co., Matthew J. Skotynsky, and Leroy W. Odegaard, (Respondents) Case Number: 01-05135 Hearing Site: Cleveland, Ohio Claimant, Bruce A. Elick, hereinafter referred to as "Claimant": W. Bradford Longbrake, Esq., Moscarino & Treu, Cleveland, OH. Claimant originally appeared pro se. Respondents, Edward D. Jones & Co. ("EDJ"), Matthew J. S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Herbeit F. Wischnia & Use B. Wischnia 94-03602 Name of Respondents Etougherty, Dawkins, Strand & Bigelow, Inc. and Robert J. Harris CASE SUMMARY In a claim fUed with the National Association of Securities Dealer, Inc. on SqMember 6, 1994, Claimants Kexben F. and'llse B. Wischnia, who appeared Pro Se, alleged that Respondents

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of tiie Arbitration Between Name of Claimant Enrico R. Giannetti and Case Number 94-03599 Name of Respondents Smith Bamey Shearson, Inc., Donald T. Cavett, Jr. and Ronald J. Card REPRESENTATION OF PARTIES Enrico R. Giannetti ("Claimant") was represented by John L. Dagley, Esq. of Brown, Campbell, Harrison & Wright, L.L.P. located in Houston, TX. Smith Bamey Shearso

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant |-lennan B. Grimes vs. Case Number: 05-04737 Hearing Site: St. Louis, Missouri Names of Respondents Citigroup Global Markets, Inc., f/k/a Salomon Smith Barney, Inc. and Wanen Frederick Langfond MATURE OF THE DISPUTE Customer vs. Member and Associated Person Hemian B. Grimes ("Claimanf) was represented by Stuart R. Berkowitz, Esq., Law Office

N.A.S.D AWARD NATIONAL ASSOCIATION OF SECUIUTIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Barbara L. Spohn Marketing Strategies Inc. 94-03630 Josephthal Lyon &. Ross Inc. Daniel Stq)ben Regan REfMSEPg'ATlQM For Claimants: Edward J. Dovin of the law fiim of Page & Bacdc. For Re^ndent Josq)litbal Lyon & Ross, Inc.: Robeit B. Mui;^, Esq. in house Counsel at Josephthal Lyon & Ross, Inc. The Respctident Dsaid S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Sidney Holdemess 94-03625 Name of Respondentfs) Biltmore Securhies Inc. John Clancy Ronald Koenigsberg Dan DiMaria Representation For Claimant Sidney Holdemess, J. Pat Sadler, from the law firm of Sadler & Associates located in Atlanta, Georgia. For Respondents Biltmore Securities IncCBiltmore"), John Clancy, Ron

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES 1)KAL1:RS In the Matter of the Arbitration Between Name of Claimants Loren D. & Susan F. Roth NASD (";>so No < W-036Zf Okie Discount Corporation REPRESENTATION Claimants Loren D. and Susan F. Roth ("Claimanis"). iipiK-iin-d pro H- For Respondent, Olde Discount Coqmration {"Ro.s|)oiuk-nt'). lii;i N. Oiio. I.M| •. counsel. CASE INFORMATION Statement of Claim filed: September 1, 1994.