N.A.S.TV AWARD MATTflNAT. ASSOrTATTON OF SErTTKTTTFS DFAT.ERS, TNC! In the matter of the Arbitration Between Name nf Plaimanf PaineWebber, Inc. vs. NASD Arbitration No. 95-«)283 Name nf Respondent Ronald B. Underwood RF.PRF.SP7JTATTON For Claimant: Richard W. Smirl, Esq. & Catherine Pratt, Esq., PaineWebber, Inc. Los Angeles, California For Respondent: No appearance for Respondent at hearing TASK Statement of Claim filed: January

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES PFAUffi 5 - INC. In the matter of the Arbitration Between Name of Robert M. Paulson NASD Arbitration vs. No. 95-00058 Name of Respondents Cartwrigfat & Walker Securities, Inc. and Gene Todd For Claimant: Robert M. Paulson, In Pro Per For Respondents: No Appearance by Respondents CASE INFORMATION Statement of Claim filed: January 4, 1995 Claimant's Submission Agreement signed

N.A.S.IV AWAPH NATTONAT. ASSOCIATION OF S HF.AT.FPg TMP In the matter of the Arbitration Between Name nf Claimant Julianne Uehlin v. Name of Ttespondents Bear Stearns & Company and Peter Zyhailo For Claimants: For Respondents: RRPRKSF.NTATTniST Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California John R. Loftus, Esq. Keesal, Young, & Logan Long Beach, California TASK TNFOBlVfATfOTV St

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Barry V. Graver 93-04908 Name of Respondent Prudential Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 30, 1993, Claimant Barry V. Graver, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. acted incompetently when it failed to accept a transfer o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SF.CTIRTTTFS DF.AIF.RS. INC. In the matter of the Arbitration Between Name of Claimant Clarence Cormier NASD Arbitration vs. #93-04739 Najne Kennedy, Cabot & Co. REPRESENTATION For Claimant: Clarence Cormier represented himself. For Respondent: George H. Kupper, Esq., Kennedy Cabot & Co., Beverly Hills, California CASE INFORMATION Statement of Claim filed: November 12, 1993 C!aiitiai;:'s

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between e of Claimant Bernard J. Kurlemann and 93-02851 Name of Respondents • ' • • " • ; Shearson Lehman Brothers, Inc. n/k/a Smith Barney Shearson, Inc. and Scott Foster REPRESENTATION OF PARTJEij Bernard J. Kurleitiaim fCUrinMtttP) 'was represented by'^iftiam K". Flynn, Esq., Strauss & Troy, Cihcmnati; OhidT She

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-02719 Edith Wesley Edith Wesley IRA Name of the Respondent Hearing Site: Orlando, Florida Morgan Stanley DW, Inc. Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES For Edith Wesley and Edith Wesley IRA, collectively referred to as "Claimants": Philip J. Snyderburn, Esq., Snyderburn, Rishoi & Sw

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Barbara J. Kirkland Case No. 00-05078 Name of Respondent Fortis Investors, Inc. Name of Third-Party Respondent Harold R. Hayes Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Barbara J. Kirkland, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq. of Goodman & Nekvasil, P.A., Clearwater, Florida. For Fortis Investors

Revised Award NASD Dispute Resolution In the Matter of the Arbitration Between: Merrill Lynch, Pierce, Fenner & Smith Incorporated (Claimant) vs. Edwin E. Nazaire (Respondent) Case Number: 05-05984 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Merrill Lynch, Pierce, Fenner & Smith Incorporated hereinafter referred to as "Claimant": Andrew J. Shapren, Esq. and James P. McLaughl

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark C. Scharbo, (Claimant) vs. Cambridge Capital, LLC and Thomas M. Rossi, (Respondents) vs. William Julian (Third-Party Respondent) Case Number: 00-03236 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Mark C. Scharbo, hereinafter referred to as "Claimant": Jason M. Ewasko, Esq., MPR Law Practice, P.C., New York, NY. Respondent, Cambridge Capital, LL