N.A.S.D. NATICNAIi ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between & Carol Herring 91-00649 Name__o£_ggspQDdent(a) Nbrstar Brokerage Corporation N.B. Clearing Corp. Arnold Feist Henry Gerbehy Michael Peer Rand/ Resnick For Claimant; Peter S. Pearlman, Esq. of Cohen & Lifland For Respondents; Howard J. Meyers, Jr., Esq., Sole Practitioner. IHPCPJKTJ.CN Statement of flalTn filed; May 16, 1991. Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, of the Arbitration Between ice? Joyce Alfino and 91-00644 of Respondents , Inc., and Melinda Abood -* w T«K« c rntz Esa. of Kelly, Stansfieid Claimant was represented by John S. Uitz, Esq. & o'Donnell, Denver, Colorado. Weehauken, New Jersey r&.QF. INFORMATION P 4 1 ^^ HV Reaoondents PaineWebber , Inc . , Statement of Answer w " *^d by Res pon d.n

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SJdUUHITJJBS DHffERS III the totter of the Arbitration Between of widenbause vs. 91-00640 securities. Inc. Scott Wilaot For Claimant: TCBL Febn and Gregory J. Sherwin, Esq., Fields, Fehn & Sherwin, Los Angeles, California* For Respondent Scott Wilnot: Terry Ross, Esq., Keesal, Ycwng & Logan, Long Beach, California. For Respondent pt1_^Han^-^a^ -ttau-ha Securities, Inc: James Capezutto, Esq., New

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dr. Harvey Workman & Rosalind Workman Claimant vs. Barry Murphy & Company, Inc. vg. Broadcort Capital Corporation Respondent Respondent CASE #91-00638 AWARD CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 27, 1991, Claimants, Dr. Harvey Workman & Rosalind Workman, who appeared Pro Se, a

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

t N.A.S.D. AWARD NATICNBL ASSOCIATION OF StXJJkiTlKS DEMURS fn the totter of the Arbitration Bett*een ^^_of__QaiS^Qtisl Richard M. Larirtffn 91-00636 Merrill Lynch, Pierce Fenner & Smith Inc Joseph Par Claimant: Richard M. «* Kespccdents: Gary Gleasca, »,. a^ SUlip ****, HI. of Keesal. Young and logm Stataunt of c**4< m filed: 2/27/91 Claimant 1 a gnVMria^fy Agreenaxt signed on: 2/19/91 Statement of Answer filed by Respond

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Itetter of the Arbitration Between Herbert Capian Marian Capian Joel Capian Mollie Capian Nathan Capian 91-0063-1 Johnston, Lemon & Company T Inc. For Claimant: Claimants appeared pro se. For Respondent: Respondent was represented by Donald E. Clem Statement of Claim filed on February 26, 1991. Additional information filed with National Association of Securities

N.A.S.D. AWARD NKTICNRL ASSOCIATION OF SECDRITE2S In the Matter of the Arbitration Between pf TV m arm v. & Mary A. Olson Mary A. Olson Elsie M. & Ectaund V. Olson Snily C. Olson Briroinri V. & Benjamin J.A. Olson Name of Respcndffnt(s) phjM-i^fj pran Dean Securities 91-00633 For dainants: Cheryl L. Duryaa, Esq., Tjma Powell Shears Lubemafcy, Olynpia, For Re^ondents: MH^haai R. Scott, Esq., Hi 1 ' lig dark

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00735 William V. Rollins, claimant vs. Jason M. Ganton, respondent. ATTORNEYS: Claimant appeared Pro Se, Hendersonville, NC. Respondent appeared Pro Se, Boca Raton, FL. DATE FILED: February 13, 2001 CASE SUMMARY: Claimant alleged that Respondent overcharged him on commissions, and churned his account thereby creating a loss. Claimant further alleged that respondent misrepresente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Anna M. Guida, Trustee 91-00630 Name of Sun Investment Services , Co. Nicholas logoff For Claimant: James R. Kauffinan, Esq. of P.O. Box 481, Millbrae f OV 94030- 5481 For Respondent Sun Investment Services, Co*: George G. Weickhardt, Esq. of Adams, IXique & Hazeltine, 500 Washington Street, Sixth Floor, San Francisco, CA 94111