N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between Empire Financial Group, Inc. Case No, 92-02425 Naroeflf! 5. Date Trude For Claimant, Empire Financial Group, Inc. ("Empire"): Richard L. Gobto A Kevin M, Gagne, C.6.O. of Empire Financial Group, Inc. For Respondent, S. Date Trade ("Trade"): Dan W. Mow, Oq. CASE WFOBMATHW Statement of Claim filed: July 22, 1992. Claimant's Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION Or SECURITIES DEALERS In uw Master of the Arbitration Jfcween " Name of Jarosiav Penan 92-02406 Pacific Sootfaem Securities. lac.: Ota Ckarifl*, Inc., aow known M Reynolds Kendrick Stottton. Inc. P. Jackson Pootjota; Wffliam Ivfichand; Genid M. Scbcdaer For Claimant Jarosiav Penan «*s reprcsemed by Joaepfa A, McDermott, m, Esq. of Soapc, Brawn & McDeimaQ, kyar< f id Soanoo, Tecu. For Respondent!

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Samuel Uslip 92-02421 Marilyn Fisher John g««*mrfr Distributors, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 21, 1992, Claimant Samuel Uslip, through his representative Martin Gofberg of Securities Arbitration Centers, Inc., Fort Lauderdak, FL, alleged that Respo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of MarkGoff and 92-02416 Name of Respondents A.G. Edwards & Sons, Inc. and Marc Prda REPRESENTATION OF PARTIES Claimant Mark Goff was represented by Scott E. Hayes, Esq. of Vial, Hamilton, Koch & Knox, Dallas, Texas. Respondents A.G. Edwards & Sons, Inc. and Marc Prda were represented by M. Jane Matoesian, Esq. of A.G. Edward

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC, CASE: 99-03263 Louis Spore and Marcia Spore, Claimants vs. Jeffrey Jones and Oak Duke, Respondents. ATTORNEYS: Claimants Louis Spore and Marcia Spore, ("Claimants") appeared through Louis Spore, Kearny NJ. Respondent, Jeffrey Jones, ("Jones"), appeared Pro Se., Tampa, FL. Respondent, Oak Duke, ("Duke"), appeared Pro Se., Sarasota, FL. DATE FILED: July 19, 1999 CASE SUMMARY: Claimant all

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Maner of the Arbitration Between Name of Claimant(s) Michael H. Schaffer Case No. 92-02412 Name of Respondents) Ronald R. Friedel Claimant, Michael Schaffer ("Schaffer"): was pro &. For Respondent: Ronald R. Friedel ("Friedel"): Morgan Bentley, Esq. of the Law Offices of Morgan Bentley, Esq. CASE INFORMATION Statement of Claim filed: July 21, 1992 and amended November 18, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Names of Claimants __ Louise M. Bergen Leonard A. Bergen TTEES 92-02411 Names of Respondents Shearson Lehman Brothers, Inc. Rick Ban Claimants, Louise and Leonard Bergen were represented by Roger C. Decker, Esq. of Kempton, Jarvis, Decker, Jenkins & Walker, Mesa, Arizona. Respondents, Shearson Lehman Brothers, Inc. and Rick Ban were r

N.A.S.D. AW AID NATIONAL ASSOCIATION OF SECURITIES DEALERS la tteMwertf the Aitrttittwc Between Cfeeoaot R. «od Saodm 8. Bdca 91-02409 b « ckim filed wttft tte N«fcMl Aaocfasim of SMUftki Dtatlen, Inc. ONASZT) onluly zl, Mtt, Cbfawnto Santo S.Bok* wdOucnceX. Bole*, Jr. ("Bolea"), who tppcved CJJUB libfKL ttat Stntttoa Oilno«t, inc. (*Sattn ") nd fl» Baipaadear Steve Cohem CCobee'), anampk>ywof ftntton «oda to them. AAttrwod a < ^ and » high ptManwaal

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Michael Schou Case No.: 94-03356 Name of Respondent Smith Barney Shearson, Inc. Name of Third Party Respondent Donald Zucker REPRESENTATION For Claimant, Michael Schou ("Schou"): Robert Miller, Esq. of Muskat, Odessky, Miller, & Schuh, P.A. of North Miami, Florida. For Respondent, Smith Barney Shearson, Inc. ("Smith Bar

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Stanley C. and Emily Konowicz 94-04716 Name of Respondents Legg Mason Wood Walker, Inc Robert Carmines REPRESENTATION For Claimants Stanley C. Konowicz & Emily Konowicz (the "Konowiczes"): Russell L. Forkey, Esq., of Russell L. Forkey, P.A., Fort Lauderdale, Florida. For Respondent/Cross-Claimant Legg Mason Wood Walker, I