NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) JEROME and SANDRA LIEBERMAN, ) Claimants, ) ) Case /89-OC243 vs • ) Award SHOCHET SECURITIES, INC., > Respondent. ) Heard before the members of the Arbitration Panel: Mr. Terrence W. Grant CASE SUMMARY This claim was filed with the NASD, Inc. on January 26, 1989. The hearing was conducted in Fort Lauderdale. Florida on October 2, 3 and 5, 1989

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Estate of Hulda V. Bonestell, Claimant vs. Herbert M. "Skip" Harrison and Prudential Securities, Inc., Respondents. Case Number: 99-03231 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, Estate of Hulda V. Bonestelf, hereinafter referred to as "Claimant"; Robert E. Arnold III, Esq. and Laurence P. Horan, Esq., Horan Lloyd, Karachale, Dyer, Schwartz,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants K.W. Brown & Company Kenneth W. Brown 92-02682 Name of Respondents Gary, Marlene & Benjamin Fohrman, JTWROS REPRESENTATION For Claimants, K.W. Brown & Co. ("Brown & Co.") and Kenneth W. Brown ("K.W. Brown"): Russell L. Forkey, Esq., Deerfield Beach, Florida. For Respondents, Gary Fohrman, Marlene Fohrman and Benjamin Fohrm

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joseph Gecsedi, Helga Gecsedi, Joseph Gecsedi IRA, and Modern Sweaters Manufacturing Company, Inc. (Claimants) vs. Morgan Stanley Dean Witter, Inc., Joseph Monaco, and Anthony Ferraro (Respondents) Case Number: 05-00105 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimants Joseph Gecsed

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 06-02158 Robert R. and Delores J. Gehrking, (Claimants) vs. Michael Kriewald, Jane L. Lawless, Associated Investment Services, Inc. and Primevest Financial Services, Inc., (Respondents) ATTORNEYS: Claimants appeared pro se, LaCrosse, Wl. For Respondents Primevest Financial Services, Inc. and Jane L. Lawless appeared James J. Moylan, Esq., of the firm James J. Moylan and Associates PC, S

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-00170 Frank E. Schiavone Lori K. Schiavone Name of the Respondent Hearing Site: Orlando, FL Wachovia Securities, LLC Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Frank E. Schiavone and Lori K. Schiavone, hereinafter collectively referred to as "Claimants": Robert J. Winicki, Esq., Winicki Law Firm, P.A.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-05932 William A. Adams Name of Respondent Hearing Site: Boca Raton, Florida Young Stovall & Company Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For William A. Adams, hereinafter referred to as "Claimant": Scott J. Link, Esq. and Ryan M. McCabe, Esq., Ackerman Link Sartory, West Palm Beach, Florida. For Young

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-02422 Paul Heinrich Deborah Heinrich Names of the Respondents Hearing Site: Boca Raton, Florida Ameritas Investment Corp. Victoria Renee Taylor Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Paul Heinrich and Deborah Heinrich, hereinafter collectively referred to as "Claimants": Scott

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Hilton B. Forcum and 92-02236 Name of Respondent Goldman Sachs and Company REPRESENTATION OF PARTIES Hilton B. Forcum ("Claimant") was represented by Kenneth R. Jones, Jr., Esq. and Mary B. Falls, Esq. of Sherrard & Roe, Nashville, Tennessee. Goldman Sachs and Company ("Respondent") was represented by Thomas W. Rosen, Esq

NASD Arbitration No.92-02233 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT.KRS In the Matter of the Arbitration Between Name of Claimant(s) Carl Taufer Name of Respondents) M.L. Stern & Co., Inc. Frank A. Wasko REPRESETSTA*yiON For Claimant: Robert W. Mills, Esq., and Kelly J. Robbins, Esq., San Rafael, California For Respondent: Michael Holtzman, Esq., Mindlin, Tigennan & Holtzman, Los Angeles, California CASE INFOR