N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Fletcher R. McKinney Courtney w. McKinney 91-03258 Name of Respondent Prudential Bache Securities, Inc. REPRESENTATION For Claimants: Mitchell Scott Paul,Esq., Minneapolis, Minnesota. For Respondent: Patricia A. Fitzpatrick, Esq. of Prudential Securities, Inc., New York, New York. CASE rNFORMftTION Statement of Claim filed: October 17,

N.A.S.D. ASSOdXnCN OF SECURITIES DSkLEKS in tie Matter or the Arbitration Bel Name of daimnta John F. & Shirley K. Herlihy l&aodara Bitter ^wi«riHHaii-*ri W/91" 03257 Name of ResDoocients Martin Franteel laSalle Street Securities, Inc. For Claimants: Jeffrey Creamer, Esq. of Shumater, T< oop & Kenorick. Hespcodent Martin Frantel **< * not atteod ^^"» 1 nvi i i i HJ Respondent LaSalle Street Securities , Inc. has altered into a settli a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Trelby Edwards and 91-03254 Name of Respondent -— Sam Pedraza - - *v- REPRESENTATION OF PARTIES Claimant Trelby Edwards appeared pro se. Respondent Sam Pedraza appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about October 16, 1991* Claimant Trelby Edwards' Submission Agreement was signed on

jt>; Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Irving, Claimant, vs. Melvin Securities, LLC, and David Kenneth, Respondents. Case Number: 01-00808 Hearing Site: Chicago, IL REPRESENTATION OF PARTIES Claimant, David Irving ("Irving"), sometimes referred to as "Claimant": Leslie A. Blau, Esq., Blau & Bonavich, 140 South Dearborn, Suite 1610, Chicago, IL 60603-5202 and James R. Latta, Esq., 140 South Dearbo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00651 Daniel T. Schneider and Hildi E. Schneider, claimant vs. Dean Witter Reynolds, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Sparta, NJ. For Respondent appeared in-house counsel Keith Guilfoyle, New York, NY. DATE FILED: February 14, 2000 CASE SUMMARY: Claimants alleged that respondent failed to execute a sell order of 2000 shares of Interactive Telesis - OTCBB

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of James Polish vs. 91-02786 of Merrill Lynch, Pierce, Fenner & Smith, Inc. Barry S. Rochlin claimant: Claimant > '•i^gmtFd himself . For Respondents; Maren E. Nelson, Esq., Morrison & Foerster, Los Angeles, Calif ornia. GASB Statanent of rialm filed: Septeifcer 6, 1991 Claimant's Submission Agreement signed en: August 27, 1991

N.&.S.D. AWARD ASSQCIOTICK OF SECORITIES DEALERS In the Matter of the Arbitration Between Of Melvin & Janice Ruth vs. NASD #91-02784 Name of Respondent Charles Schwab & Company, Inc. Par claimants: Melvin Anchell, M.D*, M< qq-Jm viejo, California For Respondent: Joseph L. Aldridge, .Qar* Francisco, Statement of (Tlalm filed: September 18, 1391 ma-tTnan^g* Sutmission Agreements signed: August 26 f 1991 Statement of Answer filed by

N.A.S.D. AWARD ASSOCIATION OF SECURITIES HEALERS In the Matter of the Arbitration Between Hersel Mikaelian vs. NASD No. 91-02780 Kennedy Cabot. & Co, Inc. For Claimant: Hersel M< v»oi ^ 3^1 For Respondents George Supper, Esq. Statanent of naim filed: September 20, 1991 Claimant's Sutndssion Agreement signed en: August 8, 1991 Statement of Answer filed by Respondent on: January 20 , 1992 Respondent's Submission Agreement signed on: December 2

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-02776 AHARD In the Matter of the Arbitration Between Mary A. and Claude K. Sims Claimants vs. Integrated Resources Equity Corporation Integrated Resources Investment Center, Incr. Henry Miller Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimants, Mary A. and Claude K. Sims, who appeare

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, CASE #91-02771 AHARD In the Matter of the Arbitration Between James W. and Sandra J. Bumstead Claimants vs. G. K. Scott & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on September 4, 1991, Claimants, James W. and Sandra J. Bumstead, who appeared Fro Se, alleged that the brokers and managers of Respondent G.K. Sc