N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Robert L. Gritzke Richard Gritzke Bertha Gritzke —- .-. -v Consoiidated No.s 92-0 Name of Respondents Shearson Lehman Hutton, Inc. n/k/a Shearson Lehman Brothers, Inc. Roger Bach Michael Rago REPRESENTATION OF PARTIES For Claimants: Matthew D. Wayne, Esq., and Robert Vanasco, Esq. of Fisnman & Merri

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Al Baraka Investment & Development Company NO. 91-00729 Name of Respondents Dr. Nizar Yaqub, - *~ Gibraltar Investments, Vanguard Capital, Broadcourt Capital Corporation, and Pershing Securities, a division of Donaldson, Lufkin & Jenrette Securities Corporation REPRESENTATION OF PARTIES For Claimant: Martin

N.A.S.D. NATICNftL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Cathy A. Srnilan v 91-00725 Shearson Tollman Brothers, lac SchietingeT For Claimant: Daniel J. Bergeson, Esq. - Bexgeson & £G.iopoulos For Respondent: E. Scott Douglas, Esq* - Keesal, Young & IKRJMKECCN Amended Statement of Cla-im filed: October 7, 1991 Claimant's Submission Agreement signed on: April 4, 1991 Joint Stateoent of Answer filed by R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Leon Greenblatt 91-00717 Name of Respondent Raffensperger, Hughes S'dSmpany REPRESENTATION For Claimant: Michael B. Roche, Esq. and L. Andrew Brehm, Esq. of Schuyler, Roche & Zwirner. For Respondent: Robert S. Steigerwald, Esq. and Roger Taylor, Esq. of Kirkland & Ellis. CASE INFORMATION Statement of Claim filed: 03

N.A.S.D. AWARD NATIONAL ASSOCIATICK OF SECURITIES DEAIZRS In the Matter of the Arbitration. Between Name of Hauua 91-00709 Mama of Respondent (sL Prudential Securities Inc Ronald Lent IvOTJDa Banna ^*TT^***^'PQ PFO Fbr Respcodeats Prudential Securities, Eoc. ani Rcoald Lent: Patricia Fitzpatricfc, Esq., In-bause r^mff^i fron Prudential Securities, IDC. in New York City. Statement of Ha-im filed: March 22, 1991. Claimant's Subodss

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jackie Leonard , Individually and as Executor of the Estate of Henry Leonard vs. Name of Respondent Shearson r^hman Brothers, Inc. National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 Case # 91-00706 For Claima

N.A.S.D. AWARD NATIONAL ASSOCTATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Victor Lo Name of Respondents 91-00705 Shearson Hutton, Inc. (n.k.a Shearson Lehman Brothers, Inc.) Cbet Dudzik For Claimant: Etoard Gould, Esq. of Gross, Minsky, Mogul & Singal, P. A. For Respondents: William A. Hohauser, Associate General Counsel of Shearson Brothers, Inc. Statement of filed: March 5, 1991 Claimant

PUBLIC N.A.S.D. AWARD NATIONAL ASSOdAHCN OF SECURITIES DEALERS " la the Matter of the Arbitration Between Namo Q£ m^-JTppnt Lilly Miller 91-00700 Merrill Lynch, Fierce, Fenner & Snith, Inc. For Lilly Miller ("Claimant"): Raymond H. MiUonan '""" - For Merrill Lynch, Pierce, Fenaer & Snith, Inc. ("Respondent"): Scott Daniel f Esq. of Hilburn, rai>wTn j Harper, Pruniski & rallyYin, Ltd. case Statement of rialjn filed: Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc., Claimant v. Xintian Li, Respondent Xintian Li, Counter-Claimant v. Ameritrade, Inc., Counter-Respondent Case Number: 01-00740 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: James J. Vihstadt, Esq. Ameritrade, Inc. Bellevue, Nebraska For Respondent: Curtis M. Karn, Esq. Law Offices of Richard Lee Honolulu, Hawaii CAS

N.A.S.D. AHABD NKTICNAL ASSOC1AT1CN OF SECORTTIES In the Matter of the Azbitration Margaret Gerovac, Personal Representative of the Estate of Sara Mae Young and as the Representative for George W. Young, Thonas F. Young, Jr. and Stephen L* Young 91-00695 Name of P**TH ivT< ii Marrill Lynch, Pierce Fenner 6 Smith, Inc. and Alan P. Soberer Claimant was "^rwfntrri by David C, Anson, Esq. of DeOoncini, MdDcnald, Biaumai, YetMln & Lacy, Tu