Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert A. Nelson and Patricia B. Nelson, Claimants v. Anchor Management Group, Inc., Respondent Case Number: 01-03379 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Robert A. Nelson and Patricia B. Nelson, hereinafter collectively referred to as "Claimants": Neai I. Blaher, Esq., Law Office of Neal J. Blaher, Orlando, Florida. For Anchor Management Group, Inc.,

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN C,\ S K : .FI RST OPTIONS OF CH ICAGO, INC. V. GARY ROTH TLa^-t^fC JE3^r-IfL DATE FILED: 4/6/93 FIRST SCHEDULED 8/13/93 DECIDED 12/2/93 CASE f.lJMMAR:f:* A Tnemti«r v. momber Market Maker Aqreemen-t and Subordinated each Borrowincf by Individual Member Agreement dispu'te . Claimant 'is alleging -bhcit- r-cspondGnt incurred a net deTicit. In its Market. Maker's account,. •.S /^^l^

CASE: AMERICAN STOCK EXCHANGE IN THB HATTER OF ARBITRATIOM BETWEEN HEATHER & BRUCE LEVIN V. REYNOLDS, KENDRICK, STRATTON, INC., & ROBERT R. MACGREGOR da^-U, ^ ^ 3 - /< r PATE FILED: 8/6/93 FIRST SCHEDULED 11/11/93 DECIDED 12/2/93 CASE SUMMARYt" Customer v. member claim. Claimant alleges that broker placed them in speculative stocks such as 27 5 shares of International Murax Technolo'gies Corp. ("MXX") stocks and MX

AMERICAN STOCK EXCHANGE • IN THE MATTER OF ARBITRATION BETWEEN CASE: VICTOR KUNSTEZ.Y V. JOSEPHIKKL LYOCK ROSS INC. AND H. MCLAIN SMITH C.^< ^ -Cd. **- ^3- l':h' DATE FILED: 5/6/93 FIRST SCHEDULED in/an/O'^ DECIDED 11/9/93 CASE SUMMARY:* A custoner v. mt-wiber arbitra< -ifTT^ < ^4gpm-«. < Tivr>l.t7inr| < -v.o vT^lr•^l"^-v>^^i y«»^ =».-I.B. of 14 covered c a l l s of TV.lf.fnnaa A^. vtt.c»^r^ i^«n,jrf^«'^ CLAIMANT'S

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN SUSQUEHANNA INVESTMENT GROUP V. ANDREW WEISS JATE FILED: 4/28/93 FIRST SCHEDULED 9/23/93 DECIDED "ASE SUMMARY;* A TriCTmbov -a. w%«..ml-....r girm 1 T r-T a ^ m o eaa4- Tnapf. A _ ^ 10/18/93 CLAIMANT'S INITIALS SESSIONS: #1 RESPONDENT > S THIRD PARTY'S INITIALS .AIM AND AWARD DATA: CLAIM $4,350.00 -,>- PUNITIVE Requested ATTY FEES N/A DEPOSIT $3O

AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN i.,ASE : SAMUEL J- ^OTH V. OPPENHEIMER & CO., INC. & S. WEBER n.A^ ^x::^L ^^3-/g- DATE FILED: 9/8/92 FIRST SCHEDULED 2/26/93 DECIDED 9/^0/93 CASE SUMMARY: * f-la-imant allegea unguitabilitv. negligence and fraud bv Responder broker & firm In Eastern Airlines stock, and bonds; TWA bonds. Transco Exploration Partners stock; Harcourt Bruce. Texas Air and First World Cheese stocks.

AMERICAN STOCK EXCHANGE IN THB MATTER OF ARBITRATION BETWEEN CASE: BEAR. STEARNS & CO., INC., V. INTRA STATE CAPITAL CORPORATION DATE PILED: 1/22/93 FIRST SCHISDULED 8/16/93 DECIDED 9/15/93 CASE SUMMARY: • A Memlier v. Member arbitration dispttte regarding a debit balance as a result of Intra State's purchase of 5,000 shares of Cisco Systems Inc. which was subsequently liquidated due to its failure to tender payment. . IMANT'S INITIALS

CASE: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN LILLIAN SBIDMAM V. O'CONNOR & ASSOCIATES, INC. n a ^ -IIU^ *^ ^3-/3 DATE FILED; 11/8/90 FIRST SCHEDULED 10/8/91 DECIDED Sept. 9, 199. CASE SUMMARY:• A member v. member employer/employee dispute. \IMANT>S INITIAL SESSIONS: •! - 7n RESPONDENT 's QM^ THIRD PARTY'S INITIALS CLAIM AND AWARD DATA! CLAIM SSO.OOO.OO PUNITIVE N/A ATT

.SE: AMERICAN STOCK EXCHANGE IN THE MATTER OF ARBITRATION BETWEEN BARRY & NORMA COHEN V. SHEARSON LEHMAN BROTHERS & JEFFREY KLOTZ 3ATE FILED: 2/2/93 FIRST SCHEDULED 6/11/93 DECIDED 7/27/93 ::ASE SUMMARY: • Claimants allege fraud, negligence and breach of fiduciary and contractual duties bv Respondent brokerage firm and broker ±n i^ht : purchase of Scientific Imaging inai-i-iimftrn-a fWTT) anrt fj»iT»i-.> to supervise. -LAIMANT'S INIT

. AMERICAN STOCK EXCHANGE XN THE MATTER OF ARBITRATION BETWEEN SE: BILL MICHAEL V. SHEARSON LEHMAN BROTHERS & KEN DORSETT C^as^ -^^lU *^3'IA DATE FILED: 2/4/93 CASE SUMMARY;* FIRST SCHEDULED 6/29/93 DECIDED 7/7/93 CLAIMANT'S INITIALS RESPONDENT•S SESSIONS: DECISION BASED ON PLEADINGS THIRD PARTY'S INITIALS '^'..AIM AND AWARD DATA: ^LAIM $5.500.00 PUNITIVE ATTY FEES DEPOSIT COSTS N/A N/A $150.00 CC/3rd PTY