N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In tK- matter of the Arbitration Between Name of Claimant Bradley C. Weddon NASD Arbitration No.94-02169 Name of Respondents Cruttenden & Company Walter C. Cruttenden, III REPRESENTATION For Claimant: Glen R. Mozingo, Esq., Mozingo & Price, Newport Beach, California For Respondents: John R. Loftus, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMATION

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Sue Kipling Isbell and NASD Case Number 94-02162 Names of Respondents Oppenheimer & Company, Incorporated and Victor F. Wratten REPRESENTATION OF PARTIES Claimant, Sue Kipling Isbell was represented by Gregory N. Jones, Esq. located in Houston, Texas. Respondents, Oppenheimer & Co., Inc. and Victor F. Wratten were represented

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03156 Marcia A. Hulbert, Claimant vs. Edward D. Jones & Co., Reva J. Sorber and Christine P. McGirr Respondents. ATTORNEYS Claimant, Marcia A. Hulbert, appeared Pro Se, Auburn, Indiana. Respondents, Edward D. Jones & Co., Reva J. Sorber and Christine P. McGirr, appeared through their in-house counsel, Kimberly G. Anderson, Esq. St. Louis MO. DATE FILED: June 14, 2001 CASE SUMMA

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between ~~ Names of Claimants Howard and Joanne Hughes 94-02158 Names of Respondents Sigma Financial Corp. Jerome S. Rydell Stephen Donaldson William J. Lynch, ffl W.S. Griffith & Co., Inc. Names of Third-Party Respondents Brian J. Sheen Sheen Financial Resources, Inc. REPRESENTATION For Claimants Howard and Joanne Hughes ("

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Amalia Wintrier 94-02153 Name of ResDondent(s) Fidelity Investments Institutional Srvcs David Beechler Sal LaBarbera REPRESENTATION For Claimant, Amalia Wintner ("Claimant"), Ralph A. Gant, Esq. located in New York. N.Y. For Respondents, Fidelity Investments ("Fidelity"), David Beechler ("Beechler") and Sal LaBarbera,

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the matter of the Arbitration Between Mingya Hsu and John Astalis, Claimants, v. NASD No. 94-02151 Merrill Lynch Pierce Fenner & Smith and Bruce Young, Respondents. Representation For Claimant: Michael Huberman, Esq. of Greenbaum & Ferentz, Newport Beach, California For Respondents: Daniel Finnerty, Esq. of Keesal, Young & Logan, Long Beach, California Case Information Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Ann M. Lundberg 94-02140 p?ini if) Linsco Financial Group, Inc. Willian A. Horrocks The Claimant's representative at the hearing was Walter Barry. For Respondent Linsco Financial Group ("Linsco"): David J. Freniere, Esq. For Respondent William A. Horrocks ("Horrocks"): Jeffrey B. Loeb, Esq. of the law firm of Ardiff and M

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. CASE NO. v. 94-02135 Name of Respondents Christine L. Bidwell & Anna K. Raetzell v. Third Party Respondent Robert Jones REPRESENTATION For Claimant: Edward Degenhardt, Esq., PaineWebber, Inc. For Respondents: William Paul McGuire, Esq., McGuire & Ford Co., L.P.A. Third Party Respondent appeared

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Leo Greisdoff, Cynthia E. et al. 94-02129 Name of Respondent^) Dean Witter Reynolds Inc. W. Rodney Thomas CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1994, Claimants Leo, Cynthia and Rubin Greisdoff ("Claimants"), who appeared Pro Se, alleged that Respondents Dean Wi

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Charles and Victoria Simone vs. 94-02128 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1994, Claimants Charles and Victoria Simone, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. sold securi