Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryzer-RX, LLC, Claimant v. Prudential Securities Incorporated, Michael S. Behner, and Brian D. Talgo, Respondents Case Number: 01-04311 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: Robert Blair Krueger, II, Esq. The Krueger Group, LLP La Jolla, California Ronald A. Marron, Esq. Law Offices of Ronald A. Marron

Finra FINRA DR In the Matter of Arbitration Between Case: Henry Hochman and the Hochman Charitable Remainder Trust v. Salomon Smith Barney, Inc and Jack B. Grubman Docket: 2003-011283 Attomeys: For Clainiant(s): Jeffrey L. Liddie - New York, NY For Respondent(s): Bradford D. Kaufman - West Palm Beach, FL Jennifer Tomsen - Orlando, FL Tucker H. Byrd - Orlando, FL Date Filed: 1/7/2003 First Scheduled: 02/03/2004 Decide4: i / 31 / o 8 Case

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Lusen Corporation Name of the Respondent Prudential Securities, Incorporated Name of the Third Party Respondent Samir Lababedi Case Number: 01-04300 Hearing Site: Boca Raton, Florida In the Matter of Arbitration Between: Name of the Claimant Philidor Investments, Ltd. Names of the Respondents Prudential Securities, Incorporated Talal Ojjeh Name

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Herbert F. Narsis, (Claimant) vs. Douglas R. Nichols (Respondent). Case Number: 00-01369 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Herbert F. Narsis, ("Claimant"): E. Steve Watson, Esq.: Law Offices of E. Steve Watson, Dallas, Texas. Respondent, Douglas R. Nichols ("Respondent"): Steven B. Holmes Esq., Carter Holmes, PLLC Dallas, Texas. CASE INFOR

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-04297 Prime Charter, Ltd., claimant vs. Eric McDonnell, respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President, Street Wide Asset Recovery Group, Inc., New York, NY. Respondent appeared pro se, Boca Raton, FL. DATE FILED: August 14, 2001 CASE SUMMARY: Claimant alleged that respondent has failed to repay monies owed pursuant to the terms of a Promissory Note,

N.A S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Donald L. and Diane S. Talley 94-05275 L.C. Wegard & Co., Inc. John Toman In a claim filed with the National Association of Securities Dealers, Inc. on December 15, 1994, Claimants Donald L. and Diane S. Talley, who appeared Pro Se. alleged that Respondents L.C. Wegard &. Co., Inc. ("Wegard") and John Toman ("Toman") solicited the

N.A.S.D. AWARD NA-nONAL ASSOCLV'nON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Susan D. Stamler 94^5274 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 15,1994, Qaimant, Susan D. Stamler, who speared Pro Se, alleged diat Respondent, Fidelity Brokerage Services Inc. gave her outdated infonnation regardi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Paula and Alfred Spietzer 94-05273 Robert A. Magnan Sovereign Equity Management Crop REPRESFJSTATION For Claimant Paula and Alfred Spietzer (the "Spletzers"): Allan J. Fedor, Esq. of Fedor & Fedor, Largo, FL. For Respondents Sovereign Equity Management Corporation ("Sovereign") and Roben Magnan ("Magnan"): H. Thomas Fehn,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECtTUTIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Roy L. Schand 94-05272 Name of Rest)ondent(s) Olde Discount Corporation Jason P. Wisniewski Richard J. Heiman REPRESENTATION For Claimant, Roy Schand, individually ("Schand") and as Trustee ("Tnist"): Allan Fedor, Esq. of the law office of Fedor and Fedor, Tampa, Florida. For Respondents, Olde Discount Corp. ("Olde")

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGLTATION, INC. In the Matter of the Arbitration Between Name of Claimants Lanny D. Leach and Georgia L. Leach 94-05268 Name of Respondents Bear Steams & Company, Inc. Scott S. Tracy REPRESENTATION Claimants Lanny D. and Georgia L. Leach ("Claimants") were represented by Geoffrey P. Damon, Esq., Cincinnati, OH. Respondent Bear Stearns & Co. ("Bear Steams") and Scott S.