N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the~~Arbitration Between Name of Claimants Alfred Ronald Daniell, Mark Alexander, Tommy Gore and Paul Gudat and 92-00287 Name of Respondent and Third Party Claimant Southwest Securities, Inc. Name of Respondent T.L. Smith Securities, Inc. and Name of Third Party Respondent Metroplex VJ Income Partners I and Frederick E. Jury REPRESENTATION OF PAR

N.A.S.D. SHKSD NKTIOSM. ASSOCIATION OF SBCOSITXnS DEMURS In the Matter of'"the Arbitration Between John Xanbeitz 92-00284 Dougherty/ DawJcins, Strand & Yost, Incorporated For Qaiggint: Brace Pearson, of Fargo, North Dakota. For Respondent: Frank Taylor, Ssq. of Popnzm & Balk, MLnne«pol±3, Minnesota. Statement of n.a< in filed* December 30/ 1991. Claimant's SubniBBlon Agreement signed oni January 16, 1992. Statawat .of Anerwer filed by Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DBALBE3 In the Hatter of the Arbitration Between Name of .Claimant Harlan Kletstad 92-00283 Hame of Respondent Daugherty Dawkins Strand Yost For Claimant at the hearing: Bruce Pearson, Fargo, North Dakota. For Respondent at the hearing: Frank A. Taylor, Esq. of Popham Haik, Minneapolis, Minnesota. CASK INFORMATION Statement of Claim filed: January 27, 1992. Claimant's Submission Agree

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Citigroup Global Markets, Inc., formerly known as Salomon Smith Barney, Inc., Claimant v. David M. Homer, Respondent Case Number: 04-05323 Hearing Site: San Francisco, California Nature of the Dispute: Member v. Associated Person REPRESENTATION OF PARTIES For Claimant: Glen R. Mozingo, Esq. The Mozingo Law Firm Newport Beach, California For Respondent: David M. Homer

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Said Khatib and Elizabeth Puccio Khatib, Claimants v. Northridge Capital Corporation, Frederick J. Hentschel, III, Ryan M. Jeffreys, Michael S. Weiner, Joseph Arbia, III, Maria C. Maglione, David J. Morochnick, and Vincent Capetta, Respondents Case Number: 00-04196 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell & Giti Malboubi, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and James J. Dyer, Respondents Case Number: 02-03025 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Michael Harrington, Esq. Law Offices of James Jay Selt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Audrey J. Tisch 92-00282 Name of Resoogdent^ Shearson Lehman Hutton, Inc. Peter Redpath For Claimant, Audrey J. Tisch (""risen"): Thomas R. Grady, Esq. of Grady & Associates. For Respondents, Shearson Lehman Hutton, Inc. ("SLH") and Peter Redpath ("Redpath"): Robert V. Williams, Esq. of Williams Reed Weinstein Schifino et

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Maryam Khansari, ("Claimant") vs. Continental Broker-Dealer Corp. and Allen Surendran, ("Respondents") Case Number: 99-03052 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Maryam Khansari, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practitioner, New York, NY. Respondents Continental Broker-Dealer Corp. ("Continental") and Allen Surendran

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Ruben Wolf Claimant CASE #92-00280 AWARD vs. Dougherty, Dawkins. Strand & Yost. Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1992, Claimant Ruben Wolf by and through his personal representative Bruce Pearson, alleged that in October of 1986 he was sol

NASD Arbitration No. 92-00270 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ George Fenimore, Trustee Name of Respondents) Kayne, Anderson & Co., Inc. Benjamin Bush REPRESENTATION For Claimant: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California For Respondents: Stephen Young, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMA