N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant: John J. Robson 91-03221 Name of Respondent PaineWebber, Inc. ___^ - *T- . REPRESENTATION OF PARTIES For Claimant, John Robson: Edward Koppman, Esq. and Mary L. 0'Connor, Esq. of Akin, Gump, Hauer, & Feld, L.L.P., Dallas Texas. For Respondent, PaineWebber, Inc.: Sarah G. Anderson, Eaq. of PaineWebber, In

I Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lester Symons v. Scott Spruth and Morgan Stanley Dean Witter Case Number: 00-05251 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Lester Symons Appeared pro se For Respondents: Wendy Robinson, Esq. Morgan Stanley Dean Witter San Francisco, California CASE INFORMATION Statement of Claim filed on or about: November 20, 2000

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wilma L. Clark Claimant, vs . NY Life Securities, Inc. Respondent CASE #91-03219 AWARD CASE SUMMARY In a claim filed with the National Association oi Securities Dealers, Inc. on October 15, 1991, Claimant Wilma L. Clark who appeared Pro Se, alleged that Respondent NY Life Securities, Inc. recommended an unsuitable investment in MFS Gover

National Association of Securities Dealers, Inc. In the Matter of the Arbitration Between Loreta T. Fama Claimant PUBLIC vs. #91-03218 Citation Securities, Inc. Peter R. Cocciardi Respondents Representation Claimant Loreta T. Fama appeared pro se* Respondent Citation Securities, Inc. was represented by its President, Barry Russell. Respondent Peter R. Cocciardi appeared pro se. Case Information Statement of Claim filed: October 1

N.A.S.D. AWRRD OF Ijtf.VPJ' 1 ' 11 *^ DEAUSRS the Matter of the Arbitration Between of M.K. Saperstein £UD TTEE FBO H*X. Saperstein IMD Defined Sgiefit Flan dated 9/30/83? Mark Saperstein FBO Abby Saperstein CTIMA/AZ, and Mark Saperstein, individually. - ^1-03209 of 05 Securities Clearing Corp. Mark Malenfant Larry Biltooce Equities & Securities Ltd. daimant, Ifiudc Saperstein, individuallyf appeared ggg^^g and 3

PUBLIC Arbitration National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall street New York, N.Y. 10004 FAX (212) 858-4389 III the Matter of the Arbitration Between Name of Claimants Aldo Caputo 91-03208 Name of Respondents Merrill Lynch Pierce Fenner & South Inc Scott Steiner Moriarty For Claimants: Jeffrey E. Michelson, Esq., of the law

Arbitration tt.A.S.D. AWARD National Association o Securities (testers. Inc ASSOCIATION OF SSLUKITIES DERLEKS NASD Financial Center 33 Whitehall Street la che Matter cf the Arbitration Between. FAX (2121 858-438^ o f Marrcn 91-03206 "or Claimant: Trante J. Evangelist, Esq. of Onnsten & Evangelist. For Raspcndent: Paul R. Williams, Esq. of Schupbacti, Williams & Pavone. Statement of Claim filed: October 14, 1991. Claimant's Sutmission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Sharon Hart N, Name of Respondents Dean Witter Reynolds Inc. Joseph Schmidt Consolidated with Name of Claimants Dean Miller NASD Arbitration No. 91-03196 Name of Respondents Dean Witter Reynolds Inc. Joseph Schmidt REPRESENTATION For Claimants: Keith A. Ketterling, Esq. - Stoil, Stoll, Berne & Likti

pi IPI NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-03194 AWARD In the Matter of the Arbitration Between Robert & Elizabeth Zeller Claimants vs. MCW, Inc. Paul J. Anderson Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 11, 1991, Claimants Robert & Elizabeth Zeller, through their counsel, James M. Ziegler, of Humphrey Farrington, et al., Independe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Hugh B. Helm, Claimant Vs. Legacy Securities Corporation, and William S. Waits, Respondents. Case Number: 00-05249 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant Hugh B. Helm ("Helm") was represented by Barry D. Hunter, Esquire, of Frost Brown Todd, LLC, Lexington, Kentucky. Respondents Legacy Securities Corporation ("Legacy"), an