N.A.S.D. IWSD NJaidOL ASSOdHnCXI OF SECURITIES DEAUiSS m the Matter of the Arbitzation Between ^OB^a^a^oBBtlai Busy Boy Mazkets, Inc. vs. 91-03342 Name of Respondent(s) Merrill Lynch, Pierce, Fenner & SDiith lac. Richazd L. SdtacoedBr For daimant: Lisa A. Olsen, Esq., FeoNide & Pfest, Falo Alto, California For Ppspondpnt: Charles L. Bendarson, Esq., MeEzill Lynch, Fierce, Fennar & Stadth, Inc., New Yadc, New York Statement of daim filed*

INDUSTRY N.A.S.D. MffiRD N2^nCMAL ASSOCIATICN OF SfaXJUKlTlES DEALEEtS In the Matter of tfae Azbitzatioa Betweea Name of daimant Pe1:er Rotboan 91-03307 Mane of Respondents SSSSBS^SII^SBSSB^SS^ Ftank Glxaldl First Independence Group, Inc. Arbitration Nationai Association of Securities Deaiers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 jtttwKfWfiaigniGM Nell M. Bbrow

N.A.S.D. AMARD NAZICMBL ASSOCniLmatl OF SECURmES DE!aZ£RS la tha Matter of tbe Axbltzatlca BetMaoa ^oaa^OaiBB^^ Roiaerta Sotelo Janet Berbolero vs. mSD #91-03204 of RflBPCPdents Financial mataads. Jmea^aeat Csrparatlrp Til nam Financial Group, Jac. Linaao/Frivata Ledger Gazponatloa Edifln E. Llckiss HKHIKSHfJaKFglll Fbr Claisants: Daxxyl P. Rains, Esq., WUUam N. Gerson, Esq., and Mbrc J. Esgel, Esq., Mocrison & Fberster, San Ftan

Award NASD Dispute Resolution In tneiVLatter ol the ArbitratiorTBetween: Names of the Claimants Case Number: 01-05021 Joseph V. White Leticia I. White and Fidele Iniestra Name of the Respondent Hearing Site: Boca Raton, Florida US Allianz Securities, Inc. f/k/a Life USA, Inc. and Victor Verola REPRESENTATION OF PARTIES For Joseph V. White ("JVW"), Leticia I. White ("LIW"), and Fidele Iniestra ("FT), hereinafter referred to as "Claima

N.A.S.D. AWARD MATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Naae of Claimants/CoxuitarresDcndents Artie Shaw The Artie Shaw Orchestra, Inc. vs. 91-03150 Name of Raapondents/Counterclaimant Shearson Lehman Brothers, Inc. Ray Carpenter RgPHBSgHTATIOH For Claimants; Denis White, Esq., Mantalica, Treadwall, Glauber & Dordick, Los Angeles, Califomia For Respondents: Kathryn L. Krebs, Esq., Kaesal, Yo

3NTASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05020 Raymond W! Schleichkorn, claimant vs. Morgan Stanley Dean Witter, Inc., respondent. ATTORNEYS: For Claimant appeared Neal J. Blaher, Esq., of the Law Office of Neal J. Biaher, Orlando, FL. For Respondent appeared in-house counsel, Thomas Croke, Esq., New York, NY. DATE FILED: September 25, 2001 CASE SUMMARY: Claimant alleged that respondent failed to timely execute written

N.A.S.D. ANARD MATiczaL Asscdxnasi OF ssajBinES DEALESS In tfaa Matter of tfae Azbitzaticn Between ^^eof^na^mt Dr. Carl^^Kostol _ii. kostoJ Lie AT Mlaae of ResnoDnripnts Kidder, Peabody & Co.. Inc. S^^^^ff^StS"™^^*"^*™ Fear daisants: Dr. Carl R. Kostol For Respcndents: Matt Miller - Kidder, Feabod^ & Co. Inc. MASD Azisitratian lio.dl-02875 Statanent of Claim filed: Septadaer 17, 1991 daisant Carl R. Kostol's S

N.A.S.D. .AWARD' NATION.AL .ASSOCUTION OF SECLTUTIES DEALERS In the .Matter of the .Arbitration Between Hava Rvwlin. as successor Name of ResDondent(s) Shearson Lehman Hutton, Inc. Shochet Securities, Inc. Stephen G. Ryan 91-02853 REPRESENTATION For Claimant, Hava Rywlin, ("Rywlin"): Pamela A. Chamberlin, Esq. of Mitrani Rynor & Gallegos. For Respondent, Shearson Lehman Hutton, Inc., ("Shearson"): Lonnie Browne Zangrillo. Esq. of Boo

N.A.S.D. ANBSD NATICNAL ASSCCIAHQT OF SECDRTnES DEAZ£RS In tfae Matter of tfae Azbitzaticn Beta«eea Uaae of c^a^TllaT^t Leonazd W. Mace NiBnne of j^rxTnriprita Bear Steams and Co. Inc. Avl Rojany MASD Azbitzatioa Mb. 91-02826 For Claimant: Jofan C. Vita, Esq. - Madden Jones & Cole, Long Beach, Ca. For Respondeat: Mlcfaael M. Gless, Esq. - Keesal, Young & Logan - Long Beacb, Ca. Stateaaant of daim filed: Septenber 11, 1991 Claiman

N.A.S.D. SSaSD jssniosiiit Asscdxm^ OF SEcnsimES DEN^JSSS In. t±e Matter of t±e Azbltxaciaa BetMaen ^gBo^^admaajt(s) Violet L. Dod^ VB. 91-02706 ^nB^mMDODdffit(s]^ Dean Witter RayDolds, Inc. MlrlfiBL Suuw Robert StaoDbaugh Arlin Peonar Far dedmaat: Sldci C. Ring, Esq., Los Angeles, Callfdzaia Far Seaprndpntat Curt H. UsuUer, Esq., Deaa Witter Reynolds, Inc., San Jtamcisco, CSallfatzaia Statement of Claim filedt August