N.A.S.D. AMARD NATICNAL ASSOCZAZnCN OF {JMLIIRITIES DEAUBRS, ISC. In. tte llatter of tte Aibitration Name of fn»Aitam^ff Dale L. and Maureen A. Barty Mme^^jgHprnrtgnt LaSalle Street Securities, Ifac. 91-01948 Str daimantei Dale L. and Maureen A. Barty were lepL-naeuLcd fay Stepfaan. L. Morgan, Eaq. of Mspty & Dnnnmrl, S.C, Madison, For Reepondent: TaSwUe Street Securities, Ifac. was irepresenLeJ fay JSnsa J. Moylan, Esq. and Bonnie L. MacEar

N.A.S.D. ANARD NATICNAL ASS0CIA31CK OF ShL'UKlTUi&i DEALERS In tte Matter of tte Azbitration Iftme of fn»< w»nt William L. Pease vs. NASD *91-01916 Name of Sbearson Lebman Brotfaers, Inc. For daimant: "Oama J. lOepperlch, Esq., Sbecidan, Wycndng For Raapondents Jtftn S. Lutz, Esq., Kelley, Stsnsfield & O'Donnell, Denver, Goloxado. Statanent of date filedt Jtea 20, 1991 daimant's fftiailaaiiei Jlgraaat:aignad cni Jlprll 30, 1991 Steten

N.A.S.D. .VWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.. 1.1 tr.e y.attar cf t.ie Arbiuration Between Name of Claimant Deanna G. Brinianan and 91-01908 Name of Respondents Boettcher & Company, Kemper Securities Group, Inc. and Daniel Nail REPRESENTATION OF PARTIES Claimant was represented by Alan C. Friedberg, Esq. of Pendleton & Sabian, P.C, Denver, Colorado. Respondents were represented by William D. Nelson, Esq. of Robins

N.A.S.D. ISmSfD NATIC2Q\L ASSQCIATICtT OF S''?'''"''''"'!« DEALESS In the M&tter of tte Aidbitxaticn StevBQ ff. Skubi GOQL'yB 91-01840 , louaipomted aad , Rnnpnnrlfrrn aad OouatarclalmBnta Foo: daiaaatx Steveo ff. Skiibi, 5716-61st Avenue, ME, Seattle, M A 98105 Fbr ReE^cndeat: Gregory; N. anith, Esq., P.O. Bcoc 25449, Seattle, W A 98125 Statanaat of Claia filedt JViua 13, 1991 daimant's Si±od88lca Agreanent signed on: Jlme 5, 1991

jao^ 51395 •s .jgBid cm UV M. '-39^ tiuA fay em Mgust 8, 1991. •mi 30. 1991. .•s ^^^^^^iafilsdfar « *52L';ii21d*«a. SSTSi. s »*» mm/amaiaoai Jpil 1. 1998 for two (2) raOD MWD 91-01795 page 2 of 4 OAiant AOami atn^lMW. Ltd. ("ftdsozn') alloged tfaat First MaotaoiB SsDucitlas cagpoi^icn CWrst htaotaaO^) and l^m, Smaaa. 40e(a) < D am 408(b) faenuM Flzst MoBtank and nrnailiniu-L at aU tlOMi fUMLy aptmmsa

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edwin C. Anderson, Jr., Trustee of the Anderson, Ziergler, Disharoon Profit Sharing Plan fbo Barbara D. Gallagher, Claimant v. William M. Vick and Salomon Smith Barney, Inc., Respondents Case Number: 01-05016 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Edwin C. Anderson, Jr., Esq. Anderson, Ziegler, Disharron, et al. Santa Rosa,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimante s) Prudential Securities Ine 91-01607 Name of ResDondent(s') Christopher Baker REPRESENTATION For Claimant Prudential Bache Securities. Inc.: John Synder. Esq. of Bingham Dana & Gould. For Respondent Christopher Baker: Richard Nicholson, Esq. of Hutchins & Wheeler. CASE INFORMATION Statement of Claim filed: May 22, 1991.

® N.A.S.D. i«ARD MATIGNAL ASSOCIATICN OF SBCDRITIES DEAI£RS In the Ifiitter of the Azbitration Between Name of Claimant's) Bemard and Gloria Ntoe of Peaocndgnt(s) Shaaraon T^KWMI Button, Zhc. Robert Jercne Robert Bant Case No. 91-01521 Fbr Claimants, Bernard and Gloria Barclay, P.A. Green: Patricia A. Sbub, Esq. of Shnh & For Respondents, Shaarscn Lebman Button, Inc. ("SbBarson") Robert Je ("jecome") and Rdbert Bunt ("Bun

Arbitration ® N.A.S.D. AWARD NATICNAL ASSOCIAIinCN CF SUUUklTlES DEALERS Ih the Matter of the Azbitration lfeme_of_dalmant Avl Yosikowitz National Association of Securities Deaiers, inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 91-01545 lfeme_of_jgwnandent:s Bear Streams & Co., Inc. Estate of Herbert Meyer For Claimant: For Respondent; HEPHBSHrnfflllCM Mark S. Ariso

N.A.S.D. ANARD HKTHOSKL ^^ty^TjKrniT OF l^WH'm'''"*i DBffBtS la the Matter of the Arbitration Between Geac^n^SSEnSoNell 91-01515 H— of RBMeodt (8) fGSSSn^S^SmS FeoDer & anith Ine Erie Kr>1«t«1 Jtadf BekiEt MKXIU ZvnehLife •nvwranm Family Lite TWW—iw^ Ccnpoiv Foa: daiaantsi Oaaega C. DOIMII (peo par) For RaapoDctaBtst Todd A. Wykwrtrrod, Esq., of MBrrill Lynch Pii & aoBlth, mc. Statcmnt ofi djda fil«ls My 16, 1991