N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant. William R. Frey 91-00671 Name of Respondents Ogilvie & Taylor Securities Corporation Donald Ogilvie Claimant William R. Frey appeared Respondent Donald Ogilvie appeared pro se individually and on behalf of Ogilvie & Taylor Securities Corporation. Statement of Claim filed: on or about March 3, 1991. Claimant's Sutmissio

N.A.S.D. NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Helene E. Paul 91-00668 Name of Respondents Shearson Lehman Hutton, Inc. - - *- Lawrence J. Debord CF FA Helens E. Paul was represented by Robt. D. Montgomery, Esq., Robt. D. Mdntgcmery & Associates, P.A. Albuquerque, NM. Shearson Lehman Brothers, Inc. and Lawrence J. Debord were represented by Joseph S. Schuchert, Esq., Keesal, Young & Logan, lo

N.A.S.D. JWBKD NATIONAL ASSOdATICN OF SECURITIES In the Matter of the Arbitration Between. pf Clifford Sandberg Nb. 91-00666 NaneofRespaDdfint.s ^^M^^^^=S— ^ _-. ,^ Securities, Inc. UKUi«oa< »ri-jy r 11 w* For Claimant: James H. Andersaa r Esq. of flaiTncn & Brintanan, P.A. Poor EespondentB: Kinberly Uoger, Esq. of Prudentlal-Banhe Securities, Inc., New York, Hew York. cass Statement of Claim filed: March l r 1391.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantf s'. Rikki Sue Selby 91-00665 Name of Resrondem: i, s \ Shearson Lehman Button, Inc. Carol Miller George Publ ic / Chairman Public Industry Claimant was represented by H. Thomas Fehn, Esq. of Fields, Fehn and Sherwln. Respondents were represented by Joseph S. Schuchert, Esq. of Keesel, Young and Logan. This

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Arthur and Lenore Olson; Estate of Donald Bennett; Madeline Dantuma; Ara Louise Olson; and E. Taliaferro French and Dorothy French Consolidated Case No.s 9i 91-00637; 91-00653; 91-00663; 91-02068 Name of Respondents Mutual Service Corporation John M. Culbertson REPRESENTATION OF PARTIES For Claimants: Steve Sam

N.A.S.D. AWARD NKTICNAL ASSOCIATION OF SBCDRITIES In the Hatter of the Arbitration Between ) Name oc ^"-1 flii HHHT*I (s) / Elda TiivHglia ) Mama of Peeuctytent (eL ) Dean Witter Reynolds, Inc. ) David M Kee ) Earl C. MaCrary ) ) ) Case No. 91-00660 For dadjnant, Elda Ticdiglia ("Tindiglia") : Adam Donor, Esq. of McGee, Jordan, Sbuey, et al. For Respondents, Dean Witter Reynolds, lac. ("Dean Witter") , David Kee ("Fee") and B

N.A.S.D. AWARD NATICNRL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant- fs| Charles Zaidan G.K. Scott & Co., Inc. Robert Roberts Tim Ciraulo Case No. 91-00658 Heard before the arbitrator: Robert Herschmann, Esq. Public Claimant, Charles Zaidan ("Zaidan"), was represented by Mitchell T. >fcRae of Mitchell T. McRae, P.A. Respondents, G, K. Scott & Co,, Inc. ("G.K. Scott"), Robert Roberts

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES, DEALERS In the Matter of the Arbitration Between Name of Claimants Jane Gale Tony and Lorraine Sherman Mona and David Monnonaro Consolidated No.s: FT 91-00654; 91-00712 Name of Respondents Mutual Service Corporation John M. Culbertson REPRESENTATION OP PARTIES For Claimants: Steve Samson, Esq., Chicago, Illinois. For Respondent Mutual Service Corporation: Robert J. Jonker

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:01-00737 Raymond James & Associates, Inc., claimant vs. Michael Cooper, respondent. ATTORNEYS: For Claimant appeared Deborah J. Howard, Esq., in-house counsel, St. Petersburg, EL. Respondent appeared Pro Se, Dallas, TX. DATE FILED: February 13, 2001 CASE SUMMARY: Claimant alleged that respondent failed to honor his contractual obligations by failing to repay monies owed under the promi

Arbitration " N.A.S.D. AWARD NKTICNRL ASSOC1AT1CN OF SBCDRXTCES DEAI£RS in the Matter of tbe Arbitration Between ldine J* Donna, Joan vs. Name of Respondents G.2C. Soott & Co. r Inc. James 6. Martin National Association of Securities Dealers, Inc. NASO Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-00652 S* Herzog, Esq. of Jackson & Mash. :, G* K* Scott & Co.