N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jay Soshnick and Loren Rosenblum Case No. 92-01553 Name of Respondents Gary Kertzman Eddie Guthmann REPRESENTATION For Claimants, Jay Soshnick ("Soshnick"), and Loren Rosenblum ("Rosenblum"): Russell L. Forkey, Esq. For Respondent, Eddie Guthmann ("Guthmann") Michael R. Casey, Esq. of Casey and Molchan. Respondent,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants O'Donneli, McCord & Leslie Corporation Pension Plan O'Donnell, McCord & Leslie, P.C. John J. O'Donnell Keogh John J. O'Donnell Case# vs. 92-01552 Name of Respondents Prudential Securities Inc Christopher Kete Deborah Ann Sappah REPRESENTATION For Claimants: Mitchell H. Cobert, Esq. a sole practitioner. For

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pamela M. Claywell and Douglas A. Peck, (Claimants) vs. Bear Stearns & Co., Inc. and David Fresne, (Respondents) Case Number: 99-03191 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Pamela M. Claywell ("Claywell") and Douglas A. Peck ("Peck"), hereinafter collectively referred to as "Claimants": Howard M. Rosenfield, Esq., a sole practitioner, Avon,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eric S. Bazil, (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Neal C. Kofman, Marie Montagnino, Helmuth G. Meditz and Joseph Guido, (Respondents). Case Number: 97-04328 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES For Claimant, Eric S. Bazil, hereinafter referred to as "Claimant": Richard F. Johnston, Esq., of Kenna, Johnston, & Sharkey, P.A., located in

N.A.S.D. STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Evelyn Grossman 97-04214 Prudential Securities, Inc. John Pavlus LannyLeff For Claimant: Gary A. Feder of Feder A. Dunn, P. A., Decrfield Beach, Florida. For Respondents: Craig D. Stein, Esq. of Stein, Rosenberg & Winikoff, Fort Lauderdale, Florida. CASE INFORMATION Statement of Claim filed: August 22, 19

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between of Claimant Alan King 97-02752 Names of Respondents Charles Schwab & Company, IDC. James Singer REPRESENTATION For Claimant: Patrick A. Davis, Esq. of Patrick A. Davis, P. A., dearwater, Florida. For Respondents: Steven Lanum, Esq. of Charles Schwab & Company, Inc. ("Schwab"), San Francisco, California. CASE INFORMATION Statement of Claim filed: June 3, 1997.

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-04155 Homer A. Whittington, Jr. as Trustee for the (consolidated with 05-05437) Homer A. Whittington, Jr. Revocable Trust Edwin Dodd Douglas Packer Robert G. Germany C.Victor Welsh, III Crymes M. Pitmann Lucy P. Culver Jeffrey L. Smith Yerger Properties, LP Lyndel B. Smith and Shirley E. Smith as Trustees

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Mark Van Deusen vs. Case Number: 04-08683 Hearing Site: Chicago, Illinois Name of Respondent Dickinson & Co. NATURE OF THE DISPUTE Associated Person vs. Terminated Member REPRESENTATION OF PARTIES Mark Van Deusen ("Claimant") was represented by Otto K. Hilbert, II, Esq., Robinson Waters & O'Dorisio, P.C., Denver, Colorado. Dickinson & Co. ("R

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Bright Trading, LLC vs. Case Number: 05-05353 Hearing Site: Dallas, Texas Name of Respondent Penson Financial Services NATURE OF THE DISPUTE Customer vs. Member REPRESENTATION OF PARTIES Bright Trading, LLC ("Claimant") was represented by Debra G. Speyer, Esq., Law Offices of Debra G. Speyer, Bala Cynwyd, Pennsylvania and T. Michael Kennedy, Esq.

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Southwest Securities, Inc. vs. Case Number: 05-00100 Hearing Site: Dallas, Texas Name of Respondent First Southwest Company NATURE OF THE DISPUTE Member vs. Member REPRESENTATION OF PARTIES Southwest Securities, Inc. ("SWS") was represented by David S. Dyer, Esq., Secore & Waller, L.L.P., Dallas, Texas. First Southwest Company ("First Southwe