N.A.S.D. AWARD NATIONAL ASSQCIATTQN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Beatrice Irene Hansen NASD Arbitration No. 91-01359 Name of Respondents Capital Growth Resources R. N. (Hap) Dolbeck For Claimant: James C. Krause, Esq. - Reniche & Krause - San Diego, Ca. For Respondent: Capital Growth Resources - William B. Treitler, Esq., Treitler & Montisano, San Diego, Ca. For Respondent: R. N. (Ha

N.A.S.D. AWARD ASSOdATKM OF SECURITIES DEALERS In the Matter of the Arbitration Between of dainantts^ 91-01342 Bar Miller, Huh, i Whiter i Button, I33C,, fc Cttrlaoa C. Sand, Esq. of Statement of filedi April 29, 1591 Richard Frederick Church cat Ally 16, 1591 Statannt of June 17, 1591 filed by 10, 1591 JUly 29, 1991 Jtaoe 17, 1591 Cb, Inc.'s 5, 1591 , Xlddsr, Foabody & Oo, and Butt

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SJsJOJKlTIhtl DEALERS In the Matter of the Arbitration Between Efran Haxkham v 31-01283 Dean Witter Reynolds, Inc. For Claimant: William F. Davis, Esq. For Respondent: Robert T. Sullwold, Esq. of Orrick Harrington & Sutcliffe Statement of nattn filed: April 23, 1591 Claimant's Submission Agreement signed on: april 10, 1991 Statement of Answer filed by Respondent on: June 6, 1991 Respondent's Submission

U.X.0.&. NKTXCKRL ASSCOMCXQH Cf SBCQRXTXES EBffJBS \ m the Jtottar OC tba AtfaitciHcn BatMttn MLloMcoy, 91-01260 «spll£i«d WittarJKiynoW*, JOB, Stutart iT» Kte CL&iaMtvt "naaaas w. DaadbuBr Baq[. of Tituft, Broactaer a ".r^r^tsiisla, Aiinm. For KeqpcnOict»t Mtedy &. ftiilMfji, Mq. of Sflta Miter Reynolds, Boa., Sam Statanaat of d-dni fll«l« *pell 23 r 1391. Amodad St»t«t Of < ^>^ filadt OctctoerT, 1SS1. «iaaad 001 Mum 26,

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sandi Goetze and 99-03025 Minneapolis, Minnesota Name of Respondents Millef, Johnson & Kuehn, Incorporated William Goude REPRESENTATION OF PARTIES Sandi Goetze ("Claimant") was represented by Donald E. Grossfield, Esq., The Investor's Law Group, Rochester, New York. Miller, Johnson & Kuehn, Incorporated ("Respondent MJK") was represented by

Award NASD Dispute Resolution In the Matter ot the Arbitration Between: Names of the Claimants Case Number: 02-07640 Elsie Simerman and Lee Simerman, Co-Trustees for The Elsie Simerman Revocable Living Trust and The Albert Simerman Residuary Trust Names of the Respondents Hearing Site: Boca Raton, Florida Prudential Equity Group, Inc. Citigroup Global Markets, Inc. (formerly known as Salomon Smith Barney, Inc.) Patricia E. Selin Natu

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Abdel Hamid Bouab (Claimant) v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Alex Troso, and Jeffrey Winik (Respondents) Case Number: 02-07579 Hearing Site: New York, New York Nature of the Dispute: Customer v. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant Abdel Hamid Bouab ("Bouab") hereinafter referred to as "Claimant": Kevin P.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Benedict M. Charlins and Nancy J. Charlins JTWROS, Charlins & Assoc. Inc. Defined Benefit Plan, Ben M. Charlins IRRA, Nancy J. Charlins IRA, Benedict M. Charlins IRA, Benedict M. Charlins SEP, and Charlins & Associates, Inc. Employee Profit Sharing Plan (Claimants) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., and Louis A. Telerico (Respondents) Case Number: 01-06231 Hearing Site

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steven E. Greenstein & Patricia Greenstein & The Sklar Trust (Claimants) vs. UBS PaineWebber, Inc., Arnold Goldbaum, Marc R. Green and M. Hope Helfenstein (Respondents) Case Number: 01-06127 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Steven E. Greenstein and Patricia Greenstein (" Greenstein") and The Sklar Trust ("Sklar Trust") hereinafter collectively refe

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants JohnW. Anderson and Barbara E. Anderson 01-05506 v> Denver, Colorado Respondents Bock Evans Financial Counsel, Mutual Securities, Inc., Mary C. Evans and Thomas H. Bock Nature of Dispute: Customers v. Non-Member, Member and Associated Persons REPRESENTATION OF PARTIES John W. Anderson and Barbara E. Anderson ("Claimant") were represented by William D