N.A.S.D. AWARD ASSOdKITCN OF fcUJi im'y'i BS-s DEAI£RS In the Matter of the Arbitration Between Ronald L. Kinacfc vs. 90-01308 Name of Respondent (s) First CblflCTdo Immatmentfl & Securities, Inc. Robert Jbyce Rene Philippart Jeff Dennis Fereutz, Estj. , QreeobBun Poo: Respondent M**-***! i Davis t Victor Gersh, Esq., itosblngtcci, D.C. Statement of Claim filed: may 8, 1990. Claimant's ft*»*rip«< < -n Agreement gignflt February 5, 1990

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Bonnie Sirkegian Chardene, Trustee Sirkegian Family Trust vs. 90-03131 of Financial Network Investment Corporation Toian Alexander, AKA Toian Bowser-Anderson John Cartwright For Claimant: Keith Hollis, Esq., Greenbaum & Ferentz, Newport Beach, California. For Respondents: Paul D. Hesse, Esq., Stisick, Peeler & Garrett, Los Angel

N.A.S.D. AWARD NMTICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Estate or Mona Waller 90-03107 Name of Respondent fs} Shearson Lehman Hutton, Inc. Ectaund A. Donnan, III n For Claimants: Michael L. Olver, Esq. For Respondent: Francis L. Van Dusen, Jr., Esq. Statanent of Claim filed: November 2, 1990 Statement of Answer filed by Respondent, Shearson Lahman Hutton, Inc., on: December 11, 1990 Res

N.A.S.D. AWftRD NATICNRL ASSCCIKnOH OP SECURITIES DEALERS In"trie Matter of the Arbitration Between 90-03102 Batenan Eichler,Hill Richards,Inc. Josef H. Snett For Claimant: Michael L. Pauls of Investors Arbitration Services, Inc. For Respondents: Craig B. Jorgensen, Esq. of Kindel and Anderson Statement of Claim filed: November 2, 1990 Claimant's Submission Agreement signed on: October 26, 1990 Joint Statement of Answer filed by Respondents om J

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Zlden M. Sande, ) Trustee of the S.M. Sande Family Trust } Dated 2/8/79. ) Claimant ) ) AWARD vs. ) ) NASD #90-03091 Shearson Lehman Hutton, Inc. ) Respondent } REPRESENTATION Claimant was represented by Stephen K. Brunk, Esq. of Higgs, Fletcher & Mack, San Diego, California. Respondent was represented by E. Scott Douglas, Esq., of

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Harry G. Cashdollar vs. of Resondent Case # 90-03072 Jerry Rice Merrill Lynch Futures, Inc. For Claimant: Jeffrey Herman, Esq. and Mary Ann Stokes, Esq. of Cohn and Lifland.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between} } Name of riaimant(s) ) ) Connie Cole ) ) ) Case No. 90-03064 ) Name of RogponfteryEf e) ) ) Shearson Lehman Hutton, Inc. ) Boss Burger ) J For Claimant, Connie Cole ("Cole"): Russell L. Fortey, Esq. of the Law Offices of Russell L. Forkey. For Respondent, Shearson Lehman Hutton, Inc. {"Shearson "): Debra Jenks, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Larry S. Gossett Case No. 99-03461 Name of Respondent A.G. Edwards & Sons, Inc. REPRESENTATION OF PARTIES Claimant Larry S. Gossett ("Claimant") represented himself. Respondent A.G. Edwards & Sons, Inc. ("Respondent") was represented by Nuviah Shirazi, Litigation Counsel, A.g. Edwards & Sons, Inc., St. Louis Missouri. CASE INFORMATION Statem

N.A.S.D. AWARD MWICNAL ASSOCIXTICN OF SECURITIES DEKLEBS In the Jfatter of the Arbitration Between Harry E. and Joanne J. Allen 90-03005 Shaaraan Lehman Button, Inc. Randall Hitchem Jim Clifton For Claimant: Mlr-b*** 1 L. Paul For Respondent: Thomas J. Lanb, Esq. Statement of Claim filed: October 25, 1990 Claimant's Submission Agreement signed on: October 16, 1990 Answer filed by Respondents on: February 11, 1991 Respondent,

N.A.S.D. AWARD + NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Conservation Chemistry Corp. 90-02975 Bcennan Roes Securities Inc. For Claimant: In Pro Se For Respondent: No Appearance Statement of Claim filed: October 22, 1990 Claimant's Submission Agreement signed on: March 17, 1991 Statement of Answer filed by Respondent on: May 6, 1991 No Submission Agreement received from Respondent. Pre-Haaring