N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robinette Joos vs. NASD #91-02686 Name of Respondents Lutheran Brotherhod Securities Corporation, Athur S. Price REPRESENTATION For Claimant: J. Rogers, Esq. of Riddeil, Williams, Bullitt & Walkinshaw, Seattle, Washington. For Respondents: F. Huebner, Esq. of Helseli, Fetterman, Martin, Todd and Hokanson, Seattle, Washingto

N.A.S.D. AWARD NATICNAL ASSCdATICN OF SECORnTES DEALERS Ia~~tbe Matter of the Arbitration Between Orville S. McELniany HASD Arbitration vs ifo.91-02639 Shaarson !>frmn Brothers. Inc. Nicholas Maffeo For Claimant: Mr. Richard Sacks and Mr. James Sullivan, Esq. • Investors Recovery Service Pear Respondent: S. Scott Douglas, Esq. - Keesal, Young & Logan Statement of Claim filed: August 26, 1391 Claimant's Submission Agreement signed on: Nov

N.A.S.D. AWARD NATIONAL ASSOCIATION OF fjjjUlH I'i'i Htj DHAI£RS In the Matter of the Arbitration Between Ngne^ofjjZlaiinant Harold Nelscn. vs. 91-02435 P"ifn > Hliiit(s) BllttOn, £QC. Ken For daiaant: Mitchell C. Green, Eaq., Los Angeles, California. For Respcodents: E. Scott Douglas, Esq., Keesal, Young & Logan, Long Beach, California. Statement of Claim filed: August 7, 1991. Claimant's p***" 1 ^ pff^ r " Agreement

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Dave Sheldon and 99-02969 Kansas City, Missouri Name of Respondents Charles Schwab & Company, Inc. Olde Discount Corporation Principal Financial REPRESENTATION OF PARTIES Dave Sheldon ("Claimant") was represented by Darren K. Kearns, Esq., Overland Park, Kansas. Charles Schwab & Company, Inc. ("Respondent Schwab") was represented by Norman E. Siegel

N.A.3.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter or the Arnitration Between Name of Claimants, Vivian Hicoiaievsky & Raquei Reisbaum Lasky and 91-02485 Name of Respondents Bear Stearns & Co., Inc. & Avi Rojany REPRESENTATION OF PARTIES Claimants Vivian Nicolaievsky and Raquei Reisbaum Lasky were represented by Michael P. Cillo, Esq. of Davis & Ceriani, P.C., Denver, Colorado. Respondents Bear Stearns & Co., I

N.A.S.D. AWARD NATIONAL ASSOCXATICN OF SHLUK1TIEB DEALERS In the Matter of the Arbitration Between Stanley P. Smidt, Jr. vs NASD #91-02399 Dean Witter Reynolds, Inc. David G. Walters ?or Claimant: William P. Ibrngren, Raq. * Bartel Eng Miller & Tbrogren For Respondent: Kenneth C. Mannemeir, Esq. - Orrick, Harrington & Sutchiffe Statement of man™ filed: August 5, 1991 Claimant's fln>»ri g^ •< ,< *« Agreement signed on: vAme 28, 1991 Joint State

N.A.S.D. AWARD NMTONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of fr|a ' < TT iant(5) !5ny Zoror 91-02300 Name of Respondent (a) Corporate Securities Group, Inc. SalihM. Zwaln Claimant: J. 1Mn>v»rn t ESCJ. For Respondent: C . Scarlett, Esq. CftSE IHPCKMftTHK Statement of (Tln-hn filed: July 29, 1991 Claimant's Submission Agreement signed on: July 25, 1991 Statement of

N.A.S.D. AWARD NATIONAL ASSOCTATICN OF SECORITHS DEALESS In the Matter of the Arbitration Between Of First Interstate Bank of Nevada, N.A. , Trustee Of *"*"> Adolph FTT^^T 1989 Living Trust and tH^nnAarr- t*r a Nevada vs. NASD f 91-02216 arnj Robert Reidy For daimantat William R. nrga, Esq., and J. Douglas Drlggs, Jr., Esq., JOLLEY, OROW WIKIH & WOCDBORy, Las Vegas, Nevada For RespoDdents: Eugene L. Snail, Esq., Ctpenhelner &

M.A.S.D. AWMD ASSOCIftTICN OF SHJUklTiKS DEALERS In the Matter of tha Arbitration Between Tan H. vs. 91-02162 Mama of Rasoondent (s) Paul Arutt Par Claimant: Richard A. Love, Eaq. For Respondents: Richard J. Bluoberg, Esq. Plan Statement of Haim filedi July IS, 1991 Claimant "3 Submission Agreement signed ons July 10, 1091 Statement of Answer filed by Respondent onx Septsnfcer 5, 1991 Respondent's Submission Agreement signed oat

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Todd Rexrode, (Claimant) vs. GRO Corporation, (Respondent). Case Number: 99-02968 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Todd Rexrode ("Rexrode"), hereinafter referred to as "Claimant": pro se, Houston, Texas. Respondent, GRO Corporation, hereinafter referred to as "Respondent": Robert P. Ross, GRO Corporation, Houston, Texas. CASE INFORMATION Sta