NASD Arbitration #93-04615 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Na.me_of Claimant The Doris H. Yager Revocable Family Trust vs. Name of Respondents Roger Smith James R. Johnson Joseph B. Nix REPRESENTATION For Claimant: Richard Sacks, Investors Recovery Service, Novato, California For Respondents: Thomas J. LoSavio. Esq., Low, Ball & Lynch. San Francisco, Califor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mariynn K. Clayton, ttee. 93-04604 Name of Respondents PaineWebber, Inc. William Blanton REPRESENTATION For Claimant: Gregory Bartko, Esq. of Graham & James, Raleigh, North Carolina. For Respondents: A. Todd Brown, Esq. of Hunton & Williams, Raleigh, North Carolina. CASE INFORMATION Statement of Claim filed: November 3,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant B. W. Fowler 93-04600 Name of Respondents A.S. Goldmen & Co., Inc.; John Catalano REPRESENTATION For Claimant: B.W. Fowler ("Fowler") was represented by J. Keith Friley, Esq. of Baton Rouge, Louisiana For Respondent: A.S. Goldmen & Co., Inc. ("Goldmen") and John Catalano ("Catalano") were represented by Carole R. Bernst

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Edward L. Pascarclla 93-04590 Name of Resoondentf s) Shearson Lehman Brothers, Inc. John J. Flading REPRESENTATION For Claimant Edward L. Pascarella: Jay M. Sawilowsky, Esq., Augusta, GA. For Respondents Shearson Lehman Brothers, Inc. and John J. Flading: Terry R. Weiss, Esq. of the law firm of Long Alridge and Norman, A

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant D.H. Blair & Company 93-04588 Name of Respondent Stephen Guercio CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 3, 1993, Claimant D.H. Blair & Co., Inc. ("Claimant"), who appeared Pro Se, alleged that Respondent Stephen Guercio ("Respondent"), a former employee, failed to rep

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Dino Vlachos 93-04578 Name of Respondentf s') Bradford (J. C.) & Co. Gregory Scott Pope Richard Miller REPRESENTATION For Claimant: J. Pat Sadler,Esq. of Sadler & Associates, Atlanta, GA. For Respondents: Claude O. Ramer II, Esq., Assistant General Counsel, J.C. Bradford & Co., Nashville, TN. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants! Paul D. Lundblad 93-04575 Name of Respondent s) Merrill Lynch Pierce Fenner & Smith Inc Michael E. Walsh REPRESENTATION For Claimant: David J. Myers, Esq. of Atlanta, GA. For Respondents: Jonathan A. Schorr, Esq: in-house counsel at Merrill Lynch Pierce Fenner & Smith, Inc. CASE INFORMATION Statement of Claim file

IN THE ARBITRATION BEFORE NASD DISPUTE RESOLUTION, INC. KIRKPATRICK, PETTIS, SMITH, POLIANINC., NASD Case No.: 01-02819 v. CONSENT AWARD RICHARD C. HILL, JR., ) Respondent. ) REPRESENTATION OP PARTIES Claimant was represented by: Respondent was represented by: James M. Bausch Cline, Williams, Wright, Johnson & Oldfather, L.L.P. 1900 First Bank Building 233 South 13th Street Lincoln, Nebraska 68508 S. Scott Las

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00903 Chester Derek Intervivos Trust, claimant vs. The Boston Group, respondent. ATTORNEYS: Claimant appeared through its Trustee, Chester J. Derek, Saginaw, MI. For Respondent appeared Eric S. Hutner, Esq., New York, NY. DATE FILED: March 2, 2000 CASE SUMMARY: Claimant alleged that respondent failed to provide suitable investment advice and purchased Sound Source Interactive Warra

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joan Brunwasser Joan Brunwasser, C.F/Yael R. Brunwasser Joan Brunwasser, C.F/Ariella Brunwasser Prudential Securities C.F/Joan Brunwasse Prudential Securities C.F/Rafi Brunwasse Rafi Brunwasser C.F/Hanifen Imhoff Unif. 93-04559 Name of Respondent D.H. Blair & Company, Inc. Representation of Parties Claimants Joan B