N.A.S.D. NATIONAL ASSOCIATION OF ShXJUKITlKS DEALERS In the Matter of the Arbitration Between ) Name Of Claimant (3) ) Eileen & Herbert Winkler ) . ) Case No. 91-01749 Name of Princeton Financial Group, Inc. ) Anthony France! ) Charles Brinble ) Jerry Frederick Shorthcuse ) Anthony Joseph Pontieri ) For Claimants, Eileen & Herbert Winkler ("the Winfclers"): Joshua Reynolds, Esq. of the law office of Joshua E. Reynolds. Respondent

N.A.S.D. AWARD NATICNftL ASSOCIATION OF SECURITIES DERLERS, INC. In the Matter of the Arbitration Between Name of ClaJTnant(s) Seawell Bowles 91-01748 Name of Respondent (s) Larkin (Hanett A.) Co., Inc. Peter K.N. Dicfcson CASE SOMMRRY In a claim filed with the National Association of Securities Dealers, Inc. on June 7, 1991, Claimant, Seawell Bowles, who appeared Pro Se, alleged that respondent Bnnett A. Larkin Coopany, Inc. failed to f

N.A.S.D. AWBKD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (3) Charles & Farris Chaptn 91-01744 Name of Respnnrignt(s) Merrill Lynch Pierce Fermer & Smith, Inc For Claimant: L. Bruce Mrnaniel, Esq. of DeBank, McDanlel & Anderson. For Respondent: William J. Crowe, Jr., Esq., In-house counsel for Merrill Lynch Pierce Fenner & Smith, Inc. case INPCBMKTICN Statement of Claim filed: June 14, 199

N.A,S.D. AW&RD NKTICNRL ASSOCIATION OP SECURITIES DEMURS In the Matter of the Arbitration Between Q£ Arbitration National Association of Securities Dealers, Inc, NASD Financial Center 33 Whitehall Street New York, N.Y. 1 0004 FAX {2 12) 858-4389 PaineWehber, Inc. vs. Name of Case # 91-01743 Stan Meaner For Claimant: Edward Werner, Esq., in-house counsel. For Respondent ; Mo one appeared on his behalf. Statemen

Award NASD In the Matter of the Arbitration Between: Name of the Claimant JWGenesis Securities, Inc. Name of the Respondent Ricardo Blanco Fajardo Case Number: 00-04955 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For JWGenesis Securities, Inc., hereinafter referred to as "Claimant": R. Stephen Camp, Vice President and Assistant General Counsel, Wachovia Securities Financial Network, Inc., Richmond, Virginia. For Ricar

N.A.S.D. AWARD NAXICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between of John Glazik 91-01741 of Respondent (s) Michael J. Markowski Carlo Kyprios vs. Global America, Inc. For Clainant: John Glazik appeared pro se. For Respondent Michael Markowski: Richard J. Blumberg, Esq. of McLaughlin & Stern, Ballen and Eallen in New York City. For Respondent Carlo Kyprios: Philip Raible, Esq. of Squadron, Ellenof

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimant(s) OWEN PYLE CASE # 91-01740 Name of Respondent (s) SHEARSON LEHMAN MUTTON, INC. REPRESENTATION For Claimant: For Respondent: Owen Pyle, Claimant P.O. Box 23069 Anchorage, KY 40223 Robert Pyle (Claimant's Son) 7802 South Cheney-Spokane Road Spokane, WA 99204 Hon. Lonnie Browne-Zangrillo Boose Casey Cikli

N.A.S.D.^ AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Kevin Jenkins, Trustee of the Jenkins Family Ttust, U/D/T dated October 2, 1985 Claimant vs. Bear Stearns & Co., Inc. Kayne, Anderson & Co. AMAXZD IfflfiD -M1-01114F NASD #91-01724 CASES AND Sakarin Van Suwannukul, Trustee for SuMBnnuJail Faniily Trust VS. Bear Stearns & Co., Inc. Kacyne, Anderson & Co. For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kenneth O. Huntingdon, et al. 91-01723 Name of Respondents Prudential Securities Inc Arden H. Berg John A. Coilura REPRESENTATION For Claimant: Walter V. Hines. Esq. a Sole Practioner. For Respondents: Dennis J. Concilia. Esq. of Carlile Patchen & Murphy. CASE INFORMATION Statement of Claim filed: June 3, 199L

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bobbie Joe McLennon and Darleen McLennon NO. 91-01721 Name of Respondents ~-. -ap-- Dean Witter Reynolds, Inc. James M. Tallen REPRESENTATION OF PARTIES For Claimants: Sally J. Whiteside, Esq. of Lindquist & Vennum, Minneapolis, Minnesota. For Respondents: Tom Nelson, Esq. and William Hittler, Esq. of Popha