NASID, N.A.S.O. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Arbitration National Association of S«curiti«* D«al«rs, Inc. One East Broward Boulevard Suite 1000 Ft. Uuderoale, Florida 33301 (305) 522-7391 In the Matter of the Arbitration Between Name of Claiitantfg) Curlie & Lisa Chester Name of Respondentfs) Richfield Securities inc. Linda Liegh Heard before the Arbitrator: James R. Kennedy, Jr., Esq. CASE #89

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaunant-ijs] Holly B. Prassenos 89-03008 NangnfResriondent(s) A.G. Edwards & Sons, Inc. Ernest Martin III Thomas Bohlke National Association of Securities Dealers, Inc. Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 CASE SWART in a claim filed with the NASD on or about Oct

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) Delaware Steel Company of ) California Profit Sharing Plan ) Dated September 1, 1982, ) Peter Taubkin, Trustee ) Claimant ) AWARD vs. ) ) NASD #89-03007 James R. Bishop ) Respondent & ) Third-Party Claimant ) vs. ) ) Peter Taubkin Third-Party Respondent ) _ ) SUMMARY OF ISSUES Claimant trustee alleged transactions

NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the Matter of the Arbitration Between Michael Muccio Claimant(s) vs. First Alliance Securities, Inc. and Dawn Daly Respondent(s) NOTICE OF ARBITRATION AWARD 89-03006 CASE SUMMARY Claimant(s) Michael Muccio alleged that Respondent{s) First Alliance Securities, Inc. and Dawn Daly committed unauthorized trading in Claimant's account. Respondent Dawn Daly denies Claimant's

NATIONAL ASSOCIATION OF SECURITIES DEALERS •f In the Matter of the Arbitration Between Evans K. Whiting Claimant(s) vs. 89-03004 Paul Freeman and Dain Bosworth Respondent(s) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant(s) Evans K. Whiting alleged that Respondent(s) Paul Freeman and Dain Bosworth failed to execute a trade in a timely manner. Respondent(s) maintain that they have made every effort to resolve this m

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) Daniel J. Sweeney/ ) dba Sweeney Lumber Company Claimant ) AWARD vs. ) CASE #89-02553 -Oppenheimer & Co., Inc. ) Jeffrey O'Braskey, and ) Thomas Ortwein Respondents ) SUMMARY OF ISSUES Claimant alleged Respondent O'Braskey failed to follow his instructions to monitor the common stock MiniScribe and to sell his 10,000 shares as soon as possible if the

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between) ) NjmeofC^iiigntfsA, ) ) Catherine Brush ) ) ) Case No. 89-02552 ) Name of ttemondentrsl ) ) Southwest Securities, Inc. ) Hampton Securities, Inc. ) Henry M. Bazarte ) Heard before the matters of the Arbitration Panel: Robert Herschnvann, Esq. Public Harry Polansky Public Robert H. Hagan . Industry Claimant/ Cat

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Walter D. Latham Claimant(s) vs. 89-02543 Sprung & Wise Securities, Inc. and Ben Coffin Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Walter D. Latham alleged that Respondent(s) Sprung & Wise Securities, Inc. and Ben Coffin purchased stock without his consent. Respondent did not respond. RELIEF REQUESTED Claimant (

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Lillian Donohoe Claimant(s) vs. Amerimutual Securities Corp. Respondents) NOTICE OP ARBITRATION AWARD 89-02542 CASE SUMMARY Claimant(s) Lillian Donohoe alleged that Respondent(s) Amerimutual Securities Corp. sold stock to Claimant fraudulently. Respondent (s) maintain that the company in question is a very liable business and very critical in

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-02819 MaryAnn Luppino Names of the Respondents Hearing Site: Boca Raton, FL Great American Financial Network, Inc. and William E. Jones REPRESENTATION OF PARTIES For Mary Ann Luppino, hereinafter referred to as "Claimant": Arnold Y. Steinberg, P.C., Pittsburgh, PA. For Respondent William E. Jones ("Jones"): Edward J. Magner, Attorney at