N.A.S.D. AWARD NATIONAL ASSOdATlCN OF SSCORITIES In the Matter of the Arbitration Between Tetsuo T. flhrno Yofeo R. vs. NASD #91-03666 NaineofRespandfints Bateman Eichler, Hill Richards, Inc. f T 1a-< inamfrg* TetSUO T. For Raspaadent: Jen L. Ra*±nsfc±, Esq., ^«i«i & Andersen, Los Angeles, California Stataneat of Halm filed: Noveotwr 20, 1391 Sutaissicn Agxeejnsat signed: October 22, 1391 Statement of Answer and Counterclaim f

N.A.S.D. AHASD ASSQdAmCN OP Mmmi'i'ihS-i EEAI£RS In the Matter of the Arbitration Between Of Frmnld P. Grunwald, M.D. vs. NASD #91-03654 of Kochcapital Russell 6. Koch TFvsmfl F. White & Co., Inc. National Securities Corparaticn For Claimant: Ronald P. Grunwald, M.D., pro se . Karen Wilsnan, Jtocfacapital, Bellevietfr Waahlngtoa SS - F. VJhita & Go. (White & Co.) and National Securities Corp. OBO - C. Dean Little, Esq., R

Arbitration 0 N.A.S.D. AWARD NKTIOttL ASSOCIATION OP SECOJUTIES DEALERS In the Matter of the Arbitration Between ) ) Name of National Ataociation of Securities Dealer*, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Marjorie O'Day Name of Respondent (s) Dean Hitter Reynolds, Inc. Jerry O'Leary Case No. 91-03649 Claimant, Marjorie O'Day ("O'Day") MBS ggo se. For Respondent,

N.A.S.D. AWARD NATIONAL ASSOdATICN OF .ShX-URITJJES DEALERS la the Matter of the Arbitration Between. pf Joseph M. Hbgan a^n sandy S. Peter Stanley NASD Arbitration Mb.91-03647 Q£ p»agpr-mrl< an fc (3) For Claimant: Joseph *™* Sandy For Respondent; H. ihonas Duncte, Esq., New York, New York. CRSB Statement of naim filed: Nbvenber 19, 1991 ft.ji in mart f- ff-|qfi< ^ rmy JKjVUlijer 14, 1991 Joint Statement of Answer filed by Respondents

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATICNAL ASSOCIATION OF SECURITIES DEALERS NASD Financial Center 33 Whitehall Street In the Matter of the Arbitration Between New York, N.Y. 10004 FAX (212) 858-4389 Name of Claimant John W. Sorfcvist 91-03642 Name of Respondents PaineWetber, inc. Tina Singh Ronald Glicfcman For Claimant John W. Sortevist ("Claimant") : Robert D. Piliero, of Piliero &

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) C, William Dover and Patricia Dover as Joint Tenanta Case No. 91-03638 Name of Respondents) Corporate Securities Group, Inc. and the Estate of Lewis Leeds For Claimants, C. William Dover and Patrica Dover ("the Dovers"): Michael Pauie of Investors Arbitration Services, Inc. For Respondent, Corporate Securities Group, Inc

M.A.S.D. AWARD NKTICWAL ASSOCIATION OF SECURITIES DEALERS 91-03637 Steven Brater R.J. Steichen & Coopany Hayne, Miller & Swearingen IDC. For Claimant: Pro ae. For Respondent Steven Brater: Pro se. For Respondent R. J. Steichen & Coipany: John R. Dorgan, SsqT^oF^Fraixnelt & Eide, Ltd. r Minneapolis , Minnesota. For Reapaadent Hayne, Miller & Swearingen, Inc. : Frank A. Taylor, Esq. of Popbam, EaUc Scimobrich & KaurJDan r Ltd. , my

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs) Harvey Jacobson and Barbara Jacobson Case No. 91-03636 Name of Resoondent(s) Dean Witter Reynolds, Inc. REPRESENTATION For Claimants, Harvey and Barbara Jacobson ("Jacobson"): Arnold Y. Steinberg, Esq. For Respondent, Dean Witter Reynolds, Inc. ("DWR"): Peter J. Aldrich, Esq. of Broom, Kelly & Aldrich. CASE INFORMATION

N.A.S.D. AHAKD NATIONAL ASSOCIATION OF SfeUJRiTIES DEALERS HT) n •'/' -- •' r- - In the Matter of the Arbitration Between ) j > '* > uc"-~ Of CTIa-imaTit(s) ) " Christopher H. Kittlescn ) ) ) Case No. 91-03635 Name of Respondent (s) ) ==sa """ Shearson T^hman Button, Inc. Claimant, Christopher H. Kittleson {"Kittlescn") : was pro se. For Respondent/ Shearson r^Hnan Button ("Shearson") : Scott Almas of Shsarson

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard A. Diglio, (Claimant) vs. Investor's Advocate, LLC, Jason Watkins, and Steven Maczka, (Respondents) and Investor's Advocate, LLC, (Claimant) vs. Richard A. Diglio, (Respondent) Case Number: 00-05277(Consolidated w/00-05375) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Richard A. Diglio ("Diglio"), appeared pro se. Previously represented by