Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Maria Wortham, Trustee, on Behalf of the Duggar One Trust, (Claimant) v. Trad^star Investments, Inc., (Respondents) Case Number: 01-00719 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Maria Wortham, Trustee, on Behalf of the Duggar One Trust ("Duggar One Trust"): William S. Shepherd, Esq. of the firm Shepherd & Smith, P.C. located hi Houston, Texas.

N.A.S.D. AWARD NA2TOKAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Pioneer 'Technologies Group, Inc. 91-00459 Name of Resnnavlpnts qppenheimer & Co., Inc. James W. Forsythe, Jr. For Claimant: Leonard S. Goodaan, Esq. of Arent, Fox, Kintner, Plotkin & Kahn. For Respondents s Joseph C . Pickard, Vice President, Legal Departjnent, Cppenheinier & Co., Inc. case Statement of Claim filed: February 8

- NJLS.D w NKTICNAL ASSOCIATION OF SBCDRmES In the Matter of tfce Arbitration. Between Ihrne of Arlise Angel 91-00457 its Gcuntal & Co., me. Carl Nicola Artottfatton National Auoctation of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (2121858-4389 For dainant Arliae Angel practitioner. ("daianent"): Susan N. Perkins, a sole Ftar RaspcDodents Gnmtal & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of Claimant (s) Margaret C. 91-00454 Name of Responrlpfit(s) Dean Witter Reynolds, Inc. -'• •*• PaineWebber Incorporated Steven Grau For Claimant: Margaret C. Bodkin was represented by Roland J. Santrm-i , Esq. of Erickson & Sederstrcm, P,C., Omaha, Nebraska. For Respondents: Dean Witter Reynolds, Inc. and Steven Grau were represented b

N.A.S.D. AWARD NATICWAL ASSOCIATION OF SECURITIES DEALERS In the Jtotter of the Arbitration Between Arbitration National Attodttion of Securities Deafen, Inc. NASD Financial Center 33 Whitehall Street New York, New York 10004 Marilyn R. Skiffington Name of Respondents Dean Witter Reynolds, Inc. Frank Joseph Courts Charles Gregory Ellison 91-00452 For Claimant: Katharine H. Kalinowski of Baber & Kalinowski, P.C. For Respon

N.A.S.D. ANAHD ASSCCXATXCN OF SECURITIES DEALSBS, INC. in tfla Mattar 02 tha Arbitration aetwsan Caanalla M* Naruaoak 91-00448 Lynch, Piarca, rannar 4 anith, inc. For Clainwnti Append pro M. For Beapendantt Slizabath Graan, Esq., in-heusa counsel. Statomnt of Claim filadt Fabruary 11, 1991. Claimant's Submission Agreement signed am Fabraary 5 f Statwnant of Aramr filad by Respondent cm I^ay 23, 1391. Raapondtti&'s Sufcrntaiion Agrsamant

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: PaineVfebber, Inc. 91-00444 Name of Respondent: Hoyt Construction, Inc. For Claimant: Ed Werner, Esq., in house counsel. For Respondent: Dennis Hoyt, Corporate representative for Hoyt Construction, Inc. Claimant PaineWebber, Inc. executed a submission agreement on February 6, 1991. It filed a Statement of Claim dated Febru

VL/ N.A.S.D. AWARD If' if NKITCHAL ASSOCIATION OF HML^JP 1 ' 1 ' 11 *^ DEALERS ^ In the Matter of the Arbitration Between pf PaineWetber, Inc. 91-00441 Mama of Bud KbzaJc AKA. Burton Xbzak Claimant was represented by William McC. Maatgcmery of PaineWebber, Inc., Los Angeles, California. Respondent Bud Kbzak appeared at the hearing via (age Statanent of n«^ filed on or about January 30, 1591. Claimant's Sub

N.A.S.D. AWARD NKTXCNAL ASSOdAnCN OF SECURITIES DEALERS la the Matter of the Arbitration Between Mane of Frederick W, Gooding Frederick W, Gooding, Inc. vs. 91-00432 Name of Respondent (s) Thnnrnrn T^MMM Brothers, Inc. Philip J. Failla. For daimntst Phillip G. Samovar, Esq., Santa Manica, California For Respondents* Micbele R. Fran, Eaq., Keeeal, Youog & Logan, Long Beach, California. Statement of ^»-*™ filed: February 8 r 15

Stipulated Award NASD Dispute Resolution _ln the Matter of the Arbitration Between: Anis N. Damani Nflftlfi-nf tfag P.??p rv ^'1 p T 1 t Cantella & Company, Inc., and TaseerBadar 01-00718 HoUStOU, TfiXOS PARTTTTS Claimant, Anis N. Damani, hereinafter referred to as "Claimant": Dennis H. Taylor, Esq., of Shepherd, Smith & Bebel, Houston Texas. Respondents, Cantella & Company, Inc., (Cantella) and Tasseer Badar, (Ba