PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Io the Matter of the Arbitration Between Name of Claimants Herbert and Debra Bailey 92-03624 Name of Respondent IDS Life Insurance Company CASE SUMMARY In a claim filed with the National Association of Securities Dealers. Inc. on October 27. 1992. Claimants Herbert and Debra Bailey, who appeared Pro Se. alleged that Respondent IDS Life Insurance Company, by and through thei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene Caputo 92-03310 Name of Respondents Michael Janik Philip Gratz Peter Cardillo " For Claimant Eugene Caputo ("Claimant"): Francis M. Correll, Jr., Esq. of the law firm of Klehr, Harrison, Harvey, Branzburg & fillers. For Respondent Peter Cardillo ("Cardillo"): Mr. Cardillo represented himself. For Respondent Micha

PUBL/C N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yeao-Nan Hsieh Shin-Chyi Hsieh 92-03285 Name of Respondent Pacific Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 29, 1992, Claimants Yeao-Nan Hsieh and Shin-Chyi Hsieh, who appeared Pro Se, alleged that Respondent Pacific Brokerage S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Regan Insurance Company Deferred Compensation Plan Case No. 92-03265 Name of Resoondent(s) Securities Service Network Inc. Gustav J. Mallas For Claimant, Regan Insurance Company Deferred Compensation Plan ("the Regan Plan"): Leonard Samuels, Esq. of Berger & Shapiro, P.A. For Respondent, Securities Service Network, Inc. (

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between nf ii Marlene (Lopez) Bradley NASD Arbitration No. 92-03256 Nanye of Respondents Wedbush Morgan Securities, Inc. David E. Vargas For Claimant: Lee D. Kersten, Esq. - Eugene, Oregon For Respondents: Marie £. Eaton - Wedbush Morgan Securities, Inc. CASE INFORMATION Statement of Claim filed: September 28, 1992 Claimant's Submission Agr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between "" --—••-- Paul J. Cotugao, as Trustee and 92-03209 Merrill Lynch, Pierce, Feonejr & Smith, Inc. Paul J. Cotugno. as Trustee ('Claimant*) appeared pw se. Merriii Lynch, Pierce, Fenodr &. Smith, be. ("JSesyombnf ) was lepiesenusd by Charieg L. Hcoctersou, Esq. of Merrill Lynch, Pierce, Fenner & Smilk, Inc., New York, New York. CASK INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALFRS In the Matter of the Arbitration Between Name of Claimants Roy H. Kite Ethivn P. Kite NASD Arbitration No. 92-02998 Name of Respondents Prudential Securities, Inc. Martin A. Klein, in Michael J. Zaccaro For Claimants: Lionel Z. Clancy, Esq. - Beverly Hills, California For Respondents: Patricia A. Fitzpatrick, Esq. - Prudential Securities Inc. - New York, New York CASE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECTIRITTRS DEALERS In the Matter of the Arbitration Between Name of Claimant^ Linda Hinman Name of Respondents ) G. W. Story & Associates, Inc. Daniel Rich Robert Gibson NASD Arbitration No. 92-02963 For Claimant: Mitchell S. Oswald, Esq., Seaman, Seaman & Ostwald, Sacramento, California For Respondents: Stephen F. Boutin^ Esq., Boutin, Lassner, Gibson & Delehant, Sacramento, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimant Kelli Lyn Met2 No. 92-02955 Name of Respondent Merrill Lynch, Pierce. Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Claimant: Jim T. Priest. Esq. and Dixie L. Coffey, Esq., of McKinney, Stringer & Webster P.C.. Oklahoma City, Oklahoma. For Respondent: Bruce W. Day, Esq. and Rodney J. Heggy, Esq., of Day, Hewett & Federman, Oklahoma City, Oklahoma. CASE IN

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02292 Larry G. Journell, Claimant vs. Cruttenden Roth, Inc., Respondent. ATTORNEYS: For Claimant Larry G. Journell - Sandra L, Malek, Esq., Malek & Malek, Torrance, California For Respondent Cruttenden Roth, Inc. - John R. Loftus, Esq., Keesal, Young & Logan, Long Beach, California DATE FILED: May 18, 1999 CASE SUMMARY; Claimant alleged wrongful advice