H.A.S.D. AWARD ' NATICNAL ASSOCTRnCW OF In the Matter of the Ai±dtrat±cn Between Jack A* Seeley NASD Azbitxatioa No.91-03682 Mama of Brian Nye For CLkimaiit: Pro Se For Respondent: Dean Witter Reynolds, Inc. - Wendy R. Robinson, Esq. Dean Hitter Reynolds, Inc. OSB Statement of Claim filed: Novenber 21, 1991 daiioant's ft*"d«ri^« Agreement ginned ont November 18, 1991 Statement of Answer filed by Respondent, on: January 16, 1992

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Estate of Stanley Mason by Eunice Mason vs. Case #91-03680 Name of Respondents Global America Inc. Michael J. Markowski Wayne M. Coy REPRESENTATION Claimant Estate of Stanley Mason by Eunice Mason ("Claimant") represented by Arthur M. Friedman, C.F.A. Respondent Global America, Inc. ("Global") was not represented. R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Ruth F. Balet Case # vs. 91-03677 Name of Respondents Shearson Lehman Brothers, Inc. James Jovce REPRESENTATION For Claimant. Ruth F. Balet ("Balet"), leuan G. Mahoney, Esq. from the law firm of Sherbume. Powers & Needham. For Respondents. Shearson Lehman Brothers, Inc. ("Shearson") and James Joyce ("Joyce"). R. Sco

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) John Liner 91-03676 Name of Respondent si Dean Witter Reynolds, Inc. Joel Frost REPRESENTATION For Claimant, John Liner ("Liner"): Sheldon Engelhard, Esq. of Vladeck, Waldman, Elias & Engelhard, P.C. For Respondents, Joel Frost ("Frost") and Dean Witter Reynolds Inc. ("DWR"): George D. Sullivan of DWR. CASE INFORM

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES. DEALERS In the Matter of. the Arbitration Between Name of Claimants SBU, Inc. of Illinois SBU r Inc., a Missouri Corporation No. 91-03675 Name of Respondents B.C. Christopher Securities Co. Fahnestock & Co., inc. Jim Rogers REPRESENTATION OP PARTIES For Claimants: Mark G. Schrader, Esq., of Jennings, Jacknewitz & Schrader, P.C., Belleville, Illinois. For Respondents B.C.

PUBLIC N.A.S.D: AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name o Merrill Lynch Pierce Fenner & Smith Inc 91-03672 Name of Respondents John J. Irwin and Debra L. Invin CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. in January 28, 1992 Claimant Merrill Lynch, Pierce Fenner &, Smith, Inc. by and through their counsel Kathy D. Gibbs of Gibbs & Ratliff, H

N.A.S.D. AWARD NATICNftL ASSOdKnCN OP jjHt.ijyiM'mM DEALERS In the Matter of the Arbitration Between llama p£ Lewis NASD Arbitration No. 91-03671 Q£ Young Stovall and Company For Claimant: Evan Scbmtz, Esq. - H° 1mft Roberts & Owen - Salt lake City, Utah For Respondent: In Pro Se Statement of rTalm filed: Nbvmber 21 f 1591 Jbiut Suhodssicci AQreement signed on: Nbvenfoer 16 r 1391 Statement of Answer filed by

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC In the Matter of the Arbitration Between Name of Claimant Dennis Siddall 91-03670 - - *r- Name of Respondents Kober Financial Corporation and Francis Holland For Claimant: Mitchell Scott Paul, Esq., Minneapolis, Minnesota. For Respondents: Dennis A. Graham, Esq., of Hopper and Kanouff, Denver , Colorado . CRSE INFORMATION Statement of Claim filed: January 2, 1992.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-05279 First Union Securities, Inc., claimant vs. Daron E. McMillan, respondent. ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq., of the firm Kane & Fischer, Ltd., Chicago, IL. For Respondent appeared Timothy J. Jensen, Esq., Auburn, CA. DATE FILED: November 29, 2000 CASE SUMMARY: Claimant alleged that respondent failed to pay the balance owed on his promissory note. Clai

PUBLIC Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OP MbUJWiriRR DEALERS NASD Financial Center 33 Whitehall Street -= — T£ — rj-rr; - r-rr — ^ .,.• — —. - =-r- -- New York, N.Y. 1 0004 In the Matter of the Arbitration Between FAX 1212)858-4389 of n Gerald R. *"ri Jean Sloane 91-03667 Of Spear, Toodo & Kellogg Kenneth Pasternafc For Claimants: David W. Scimidt, Rag., a sole prac