PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Martin Kaiden and Ruth Kaiden, JTWROS 91-02041 Name of Respondent G K Scott & Co. Inc CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 1, 1991, Claimants Martin R. and Ruth A. Kaiden, who appeared Pro Se, alleged that they were repeatedly solicited by a broker working f

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Nama_g£giaimg£igi Doreen Putnam 91-02040 Name of Sacks Investment Ccnpany For Claimant: In Pro Se For Respondent: In Pro Se Statement of Claim filed:July 11, 1991 Claimant's Submission Agreement signed on: June 25, 1991 Statement of Answer filed by Respondent on: Respondent, Richard L. Sacks did not file a written answer to the claim.

N.A.S.D. WARD NATICNAL ASSOCIftllCN OF SBCDRTTIES DEALERS In the Matter of the Arbitration Between Name_gf L Claimant (s) Aubrey R. Martin and Sharon F. Martin vs. 91-02036 Dean Witter Reynolds, me. Prudential Securities, Inc. and Kenneth W. Mattson For Claimant: Andrew J. Ogilvie, Esq., 300 McntgoDery Street, Suite 700 r San Francisco, nai H tem^ « 94104. For Respondents: Wendy R. Rbblnscn, Esq., Dean Witter Reynolds, Inc., (CWR

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SELUkiTIES DEALERS In the Jitter of the Arbitration Between Name of Patricia J. vs. 91-02035 Name of Respondent (s) Prudential Bacfae Securities, Inc. Y&miro For Claimant: Michael L. Paule, Investors Arbitration Services, IDC., Wbodland Hills, r> a'Hfi7rp'' a For Respondents: Debbie C. Stone, Esq., Prudential Barlip Securities, Inc., New York, New York cass Statement of Halm file

JflN 33 '32 91-02033 P.3 National AMOdaiton of SacurttfM Dt aton, Inc. NA80 Financial Canttr 33 WhfwhtM Street N«w York, N^w York 1000* Caatle Seouriti** Corp, KiohMl T. Studar Mary Martin Daniel H. Claimants All pro se. a&Pearedpco 8*. Stat««t of claim OUly 1, of of ara sswas l T. H . Goldan on, Blaned „, fcigust 20, 1991. JPN 30 f 3Z P.4

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joan E. Patrick, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-05215 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Michael H. Bonner, Esq. San Francisco, California For Respondent: Ekwan E. Rhow, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION Statement of Claim filed on or about

Arbitration N.A.S.D. AWARD •at NATIONAL ASSOdATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant I. Jacob Dahan vs. Name of Respondent Merrill Lynch Pierce Fenner & Smith Inc National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 Case # 91-02028 For Claimant, I. Jacob Dahan, Bruce E. Falby, Esq. of the law

t t N.A.S.IX ANAKD NKTICHHi ASSOCIATION OF SIJLXJRLT1£S EERLERS la toe natter of the Arbitration Between Name of & Sheryl Gossett 91-02025 il Securities Corp. David S. Miller Cindy Leach dai&ant was represented by Itomas W. Koeilii^g, Esq. , Kansas City, Missouri* Reepcojents ware represented by Jane L. Stafford, Esq. of Mitchell * Xristl Lieber, Kansas City, Missouri. the Statonent of Claim was filed on or about June 28, Cla

N.A.S.D. AWARD NATIONAL ASSOCIATICK OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Betwocn of lampros Mastrbkalos 91-02021 Name of Respondents Shearson T Rahman Brothers* Inc. Henry Senger, Jr. Henry Senger Alan Garber For Claimant: Ecbard A. Zahos, Esq. of the law firm of Joseph S, Di Meiria, Esq. For Respondents; Harry T. Walters, Esq. CASE Statement of Cla-im filed on: June 28, 1991. Claimant's Submission

PUBLIC N.A.S.D. AWAKD ASSOCIATION OF fcJUUUklTlES DEALERS, INC. In the letter of the Arbitration Between ftfarmo n Colin Cody 91-02018 Name of Respondent Sutro & Co., Inc. For Claimant: Colin Cod/ appeared pro se* For Respondent; Barbara J. Glenns, Esq. case Statement of Claim filed on: June 27, 1991. Claimant 's Submission Agreement signed on: June 24, 1991. Reply to Respondent's Motion to Dismiss filed on: October 15, 1991.