NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Hatter of the Arbitration Between) Dean Witter Reynolds, Inc. ) Claimant(s) ) and ) ) CASE NO. 87-02543 Jeffrey Bruhjell ) ) •Respond ent(s) ) CASE SUMMARY Dean Hitter Reynolds, Inc. ("Claimant") alleged that Jeffrey ("Bruhjell") had a debit balance with the Claimant in the amount of 19,998.47, plus interest of 56,973.81. Claimant also requested attorneys' fees and costs.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) \ James A. and Florence M. and K.A. Knapp and Company, Kirk A. Knapp and Jonathan Edwards Phelps ) Claimants ) } ) Inc.; ) ) ) Respondents ) ) A W A R D 87-2053 and 87-2054 On Thursday, April 27, 1989 in St. Louis, Missouri, the undersigned arbitrators heard the controversy between the parties as set

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Richard D. Fischer Case No. 99-02280 Name of Respondents Americorp Securities, Inc. Dirks & Company, Inc. Hearing Location: Washington, D.C. REPRESENTATION OF PARTIES Claimant, Richard D. Fischer ("Fischer") was represented by William S. Burroughs, Jr. Esq., Attorney at Law, Arlington, VA. Respondent, Dirks & Company, Inc. ("Dirks") was repr

08/13/01 WED n:32 FAX NASD REGUUTION AWARD NASD Dispute Resolution, inc. In the Matter of the Arbitration Between Name of Claimants William N. Bernard and Catherine H. Bernard *" 00-01000 Minneapolis, Minnesota Name of Respondents Silver Capital Group Shamrock Partners, Ltd. LCP Capital Corp. Thomas John Granite Emauuele A. Scarso OF William N. Bernard and Catherine H, Bernard ("Claimants") were represented by Michael Hum

NASO Arbitration N.A.S.D. AWARD National Association ol Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS NeyvkNrlc 10004 In the Matter of the Arbitration Between Name of Claimant^s} Carl and Betty A. Reynolds, JTWROS 87-02041 Shearson Lehman Brothers, Inc. Claimants alleged that Respondents defrauded them in the sale of common stock and failed to f ol low the Claimants' instructions in the sale of

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Leonard E. Schwartz Claimant(s) vs. 87-01950 Beuret & Co., and Andrew Greitz Respondent(s) NOTICE OP ARBITRATION AWARD CASE SUMMARY Claimant(s) Leonard E. Schwartz alleged that Respondent(s) Beuret & Co., and Andrew Greitz negligently mishandled Claimant's account held with Respondent. Respondent(s) deny Claimant's allegations. RELIEF REQUESTE

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Homer E. & Betty K. Alfs Claimant(s) vs. 87-01829 Edward D. Jones & Co. Respondents) NOTICE OF ARBITRATION AWARD CASE SUMMARY Claimant Homer E. & Betty K. Alfs alleged that Respondent Edward D. Jones & Co. should have determined that the retired Claimants were unsuitable for investments in units of Oil and Gas Limited Partnership. Respondents main

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter of tha Arbitration Between ) ) ) ) ) Ordonez & Pedro Shearaon Lehman Brothers, Inc. Vbldanar Straadaa Alfred Fasulo 6 MBrgairita Afandor ShaazBon Latnan Bcothaii, Inc. Valdanar Straadaa Alfrad Famlo 87-01738 88-00097 Haard. ha>fora ths Mrlna Shajdc-KLain, Baq. Fanny M. Millar tfyion Ounay, of tha Arbitratijon Fanalt Thaaa claim

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Robert L. Young Claimant(s) vs. Blinder, Robinson & Co,, Inc. and Alex Herman Respondent(s) NOTICE OF ARBITRATION AWARD 87-01693 CASE SUMMARY Claimant asserts Respondents sold him stock, misrepresented the due date for payment, then sold him out under Regulation T and used the proceeds to acquire unauthorized stock and that Respondents failed

NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Audrey Contente Claimant vs. Blinder Robinson & Co., Inc. and Jackie Moultrie Respondents Case #87-01667 AWARD CASE SUMMARY Claimant, Audrey Contente alleged that Respondents, Blinder Robinson & Co., Inc. and Jackie Moultrie allegedly purchased shares of common stock that were not authorized by her and fraudulently misrepresented and sold other