AMERICAN STOCK EXCKANGS IN THE MATT&R OF ARBITRATION BETWEEN 2: n a . MWAT. T. IGH V. JOSEPH KAUE^AM . L, BAIGH V- ATS FILED: 12/1B/B7 FIRST 6CHEDUX.BD 5/31/89 DBCZOaO /^ ^ /? *f ASB SUMMARY:* CuatcMoar v. Mambar dlBPUte-- Cuatomer alleq»g gpaoiatllsc ±nmgop«rlv execuf d hla order. ^*-*^*n.' -TT H- IAIMAHT*S INZTIAIiS BSSIOMS: RESPONDBNT•8 tvt THIRD PARTY'S INITIALS XM AND AWARD DATA: LAIM

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Jack Samuel London Case Number 01-03294 (Master Case) Names nfthe "Respondents Park Avenue Securities, LLC Richard E. Karlton Dennis Kelleher In the Matter of the Arbitration Between: Name nfthe Claimant Guardian Life Insurance Co. of America Case Number- 02-04051 (Subordinate Case) Name of the "Respondent Jack S. London

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitratton Between Rictiard E. Hamstead NameofResDondentfs^ Olde Discount Coiporatioa 94-03648 REPRESENTATnON Claimant, Richard E. Hamstead, ("Hamstead"), appeared pro se. For Respondent, Olde Discount Coiporatioa ("Olde"): Kazen L. Brink, Esq. of Olde, D^ioit Nfl.- CAfifE BOTBMATOW Statement of Claim filed: August 30, 1994. Claimant's Submission Agreement si

NASD Dispute Resolution, Inc. DISPUTE RESOLUTION 125 Broad Street' 36th Floor ' New York, NY 10004-2193 • 212-858-4400 ' Fax 212-856-4389 An NASC Company Satellite Office at: 1735 K Street' 4th Floor' NW ' Washington, DC 20006-1506 * 202-723-8958 * Fax 202-728-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE:99-03987 Robert Baumann, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Robe

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lewis E. Worms and The Lewis E. Worms and Corrine 1. Worms Tmst, Claimants v. LH Ross & Company, Inc. and Peter J. Mirenda, Respondents Case Number: 05-02001 Hearina Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Stephen H. Marcus, Esq. Gittler & Bradford Los Angeles, Californ

stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: William G. Forrest and William G. Forrest as the Personal Representative of The Estate of Terri L. Forrest, Claimants v. Louis Peter Patlerno, Jr. individually and dba Peak Planning Group, Respondent Louis Peter Patierno, Jr. Counter-Claimant v. William G. Forrest and William G. Forrest as the Personal Representative of The Estate of Terri L. Forrest, Counter-Respondents

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03986 Olde Discount Corporation, Claimant vs. Bruce H. Geigerman, Respondent. ATTORNEYS: For Claimant, Olde Discount Corporation, ("Claimant"), appeared in-house counsel, Robert M. Visconti, Detroit, MI. Respondent, Bruce H. Geigermam, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: August 31, 1999 CASE SUMMARY: Claimant maintained that Respondent owned 32 sh

Award NASD Dispute Resolution In the Matter of the Arbitration Between: James H. Alexander, individually and as Trustee of the Alexander Family Trust, and Virginia R. Alexander, as Trustee of the Alexander Family Trust, Claimants v. Merrill Lynch Pierce Fenner & Smith Inc. and Richard D. Doebler, Respondents Case Number: 00-04443 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: Alan I. White, Esq. Drummy King White Parre

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-03985 Patricia Harrington, claimant vs. Ameritrade, Inc., and Advanced Clearing Inc., respondents. ATTORNEYS: Claimant, Patricia Harrington ("Claimant"), appeared Pro Se., Austin, TX. Respondents Ameritrade, Inc., and Advanced Clearing, Inc., (Collectively "Respondents"), appeared through Caroline F, Wyzykowski, of Ameritrade, Inc. Bellevue, NE., and Kurt D.Halverson, Advanced Clearing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Scott C. Gottlieb and Betsy Gottlieb (Claimants) v. Whale Securities Co., L.P. n/k/a Bluestone Capital Corp., and Joseph E. Haick (Respondents) Case Number: 9&03984 Hearing Site: Albany, New York Nature of the Dispute: Customer v. Member and Associated Person REPRESENTATION OF PARTIES Claimants, Scott C. Gottlieb ("S. Gottlieb") and Betsy Gottlieb ("B. Gottlieb"), hereinafter co