N.A.S.D. AWARD NATIONAL ASSOCIATION OF' SECURITIES DEALERS In the Matter of the Arbitration Betvreen ) ) Mane of Raymond & Florence Sykes Name of Pognnnrkant-- i s \ Shearson Lehman Hutton, Inc. Case No. 91-02016 For Claimants, Raymond and Florence Sykes ("Sykes"): gcg sg. For Respondent, Shearson Lehien Brothers, Inc. ("Shearson"): Scott Almas, L.A. of Shearson. Statement of Claim filed on: June 27, 1991. Claimants' Submission Agreement

N.A.S.D. CREER NS33CHAL ASSQCXAXIC&T OP M4iiVuMfc1 J. anri T. p. D No. 91-02006 Of Idnd-Walctock Securities, Inc. FOOT Claimants* Mirfiaoi j. 133 T^MTran^q appeared pro ae CD, v^haif of the For Reepcodent Llnd Waldocte Securities r Inc.: Mark Boyle, Esq. and Cheryl Fltzpatridc, Esq. of Respcodent Andrea T.ap»a»> ^aHioH to "M"^^ at the hearing, and has f**!** to file a Submission to Arbitration, and has also ^^TQH to file an answe

H.A.S.D. AHRRD NBTICNAL ASSQCTKTICN OF SBCDRTTISS DEALERS In the Matter of the Arbitration Between Tbe Raumgarteer Family Trust Claimant (s) 91-02003 Glenf ed Brokerage Services Respcodent (s) Fear Claimant: James F. Robinson, Esq. Far Respondent: Joel Dwark, Esq. of Everakes, Spicer, lax, Wildman, Iborfc & Dickson Statement of rijHm filed: June 27, daimant's Submission nrprmrnt signed by Vicki B. Canpbell, Trustee of Tba Baumgartaar

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant D.E. Frey & Company, Inc. and 00-05213 Denver, Colorado Name of Respondent James J. O'Brien REPRESENTATION OF PARTIES D.E. Frey & Company ("Claimant") was represented by Kenneth R. Bennington, Esq., Bennington Johnson & Reeve, P.C., Denver, Colorado. James J. O'Brien ("Respondent") was represented by William D. Nelson, Esq., Rothergerber, Jo

09/13/01 WED 13:20 FAX NASD REGULATION ilOOl Stipulated Award NASD Dispute Resolution, Inc- In the Matter of the Arbitration Between: IRVINYAROCH, Claimant, v. MIDWEST PENSION ACTUARIES, INC., MARINER FINANCIAL SERVICES, INC., BERNARD L. HEMKER, J. WILL PAULL, CLARK F. CQLTON, WILLIAM GREGG, DENNIS BROWN, ROBERT BOONE and KENNETH D. WARWICK, Respondents. Case Number: 00-00526 Hearing Site: Detroit, Michigan REPRESENTATION OF

N.A.S.D. AWARD Arbitration *«««..-»«,. .*«/'**••»rw^« «« ... „ *„**„-„ National Association of NATICNAL ASSCCttnCN C3P SH3J«iTUdB DEALEST Securities Dealers, Inc. One East Broward Boulevard In the Matter of the Arbitration Between ) Suite 1000 ) Ft. Lauderdate, Florida 33301 v (305) 522-7391 John. B. and Thelma R. Latil ) > } Case No. 91-02002 ) Name of Respondent (s) ) ) Merrill Lynch Pierce Feoner & Smith Inc ) John C. BUcle )

OJ N.A.S.D. AWARD NATIONAL ASSOCIATION OP SBCUKi'l'lhS DEALERS In the Matter of the Arbitration Between Name of Claimant Lehman Brothers, Inc. Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street Mew York, NX 10004 FAX (212) 858-4389 vs. of Respondent George John Pampas Case # 91-02001 For ClaAirant: Charles R. Mills, Esq. of Lord Day & Lord, Barrett Smith. For

Arbitration N.A.S.D. AWARD National Association of _ Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS New York. N.Y. 10004 In the Matter of the Arbitration Between FAX (212)858-4389 Name of Cla-i™r>*-g Dr. Frank J. Spino anri Mrs. Arline G. Spino JIWROS Frank J. Spino, D.D.S., Inc. Arline Spino, Custodian for Susan L. Spino, OQffl. Arline Spino, Custodian for lianas J. Spino, DGMA Aurora Dental Associates, Inc. Frank J

N.A.S.D. AWARD ASSOCLATICN OF SBCUKTmS DEALERS In the Matter of the Arbitration Between Name of John J. anrf Beraadette ) Caae No. 91-01996 Name of Respondent (a) ) ) Merrill Lynch Pierce Fenner & Smith IDC ) For Claimants, John J. and Bernadette Bergen ("Bergen"): John P. Graves, Jr., Esq. of the law offices of John P. Graves, Jr. For Respondent, Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch") : Michael E. Olney, Esq. of Mer

N.A.S.D. AKARD NftTICNM, ASSOCTKEICN CF SMLURiTlffl DEALERS In the Matter of the Arbitration Between Name of Paul M. Sctwartz 91-01992 (a) Charles flrfunb & Company, Inc. Marie P. Ryan daimant, Paul M. Schwartz ("Sctowrtz"), For Rflepcndmts, Charles Sctuab 6 Ooipany, lac. ("Sctwab") and Mark P. Ryan, ("Ryan") John D. Boyfcin, Esq., Boose Casey Clfclin et al. Statanant of na-hn filed! 6/26/91. 's Subalssion J^resoieat signed ons 6/22/