PI "~M 10 ' OoLio N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Ronald and Diana Wittman 92-03816 Name of Respondent Consolidated Investment Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10, 1992, Claimants Ronald W. & Diana Wittman, through their counsel Allen N. Smith, Esq. of Smith & R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name sf Claimanc Bill D. Werth No. 92-03815 Name of Respondents Rhodes Securities, Inc. James Rhodes Gus Bauer Jeff Brault James D. Wilson Southwest Securities, Inc. REPRESENTATION OF PARTIES For Claimants: Glenn D. Young, Jr., Esq., of Young, Bogle, McCausland, Wells & Clark, P.A., Wichita, Kansas. For Respondents Rhodes Securities, Inc.,James Rhodes, Gus Bauer, a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Tom Leahy, Claimant v. Platinum Equities, Inc. and Gregory Grycan, Respondents Platinum Equities, Inc. and Gregory Grycan, Counter-Claimants v. Tom Leahy, Counter- Respondent Case Number: 00-04999 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Customer v. Member and Associated Person Nature of the Dispute: Member and Associated Person v. Customer REPRESENTATION OF PARTIE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Geraldine E. McArdle 92-03813 Name of Respondents Baker Watts & Co. David L. Hannett, Sr. W. Andrew Wilson CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 10, 1992, Claimant Geraldine E. McArdle, who appeared Pro Se, alleged that she opened an account with Respondent B

NASD Arbitration No, 92-03809 N.A.5.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of rlaimant(s) Nargis Suleman Name of Respondent (s) Prudential Securities Incorporated J. Gary Larsen Gerald P. McBride REPRESENTATION For Claimant: Karen R. Goldberg, Esq. and Jeffrey W. Kramer, Esq., Troy & Gould, Los Angeles, California For Respondents; Michael M. Gless, Esq., David M. Ba

1 PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between John R. and Joyce Wheeler, .JTWROS ,. . Claimants vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. Respondent CASE #92-01999 AWARD In a claim filed with the National, Association-of Securities Dealers, . Inc, on : '.June 16, 1992, Claimants.:; John &. and . Joyce Wheeler, who appeared Pro Se, alleged ; _that : . R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lawrence C. LeBIanc and L&L Properties vs. 92-01996 Name of Respondents Prudential Securities Inc Matthew Capone Michael Lewis REPRESENTATION For Claimants, Lawrence C. LeBIanc and L&L Properties ("Claimants"), Peter L. Resnik, Esq. and Steven W. Kasten, Esq., from the law firm of McDermott, Will & Emery. For Responden

N.A.S.D. FINAL AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant H. Paul Richards 92-01995 Name of Respondents Shearson Lehman Brothers, Inc. Prudential Securities, Inc. Theodore G, Peck REPRESENTATION For Claimant H. Paul Richards ("Claimant") appeared David Robbins, Esq. of the law firm of Kaufman, Finer Yaman Gilden & Robbins located in New York City, New York. For Respo

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joan W. Weston 92-01994 Name of Respondent Prudential Securities Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 16, 1992, Claimant Joan W. Weston, who appeared Pro Se, alleged that Respondent Prudential Securities, Inc. recommended an unsuitable investment, VMS Mo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Luis Herrero M.D. Chartered Profit-Sharing Trust NASD Case Number 92-01992 Name of Rcspondent(s) Wakefieid Financial Corp. Alexander Minella Comprehensive Capital Corp. G.K. Scott & Co., Inc. George Kevorkian John Kevorkian Mark Czaja Parsons Eng Joseph Zaborowski Keith Friedman Kenneth Stoops