N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Dana Loewenthal Case No. 91-02580 Name of Respondentfs) Global Capital Securities, Inc. Frank Laudadio Sheldon Lieberbaum REPRESENTATION -/ For Claimant, Dana Loewenthal ("Loewenthal"): Russell L. Forkey, Esq. For Respondents, Global Capital Securities, Inc. ("Global"): Michael H. Pincus of Vantage Securities, In

H.A.S.D. AWRKD ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Of Rudolph S. Bodnar Helen E. NASD Arbitration No. 91-02578 Name of Respondents Daan Witter Seycclds, lac. Robert F. Howard For Claimant: Rudolph S. Tw*na-r* - m Pro Se For Respondents: Curt H. Mueller, Esq. - Dean Witter Reynolds, Inc. CBSB Statement of (Tla-im filed: August 20, 1991 Amended Statement of c^^im filed: March 24, 1992

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Karen G. Gianforte Claimant CASE #91-02575 AWARD vs. Dean Witter Reynolds, Inc. Neal T. Hughes Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 20, 1991, Claimant Karen G. Gianforte by and through her counsel, Richard F. Berkey, Esq., Sole Practitioner, Turnersville, New Jersey, al

K.A.S.D AWARD NATIONAL ASSOCIATION CEP SECCRITIES DEALERS in the Matter of the Arbitration Between ) ) of daiinant(s) ) Irving Rudolph ) ) Case No. 91-02563 ) Name of Jesup, Josephtbal & Co. Inc. ) Peter MiASletcn ) JSC Securities Co., Inc. ) For Claimant, Irving Rudolph ("Rudolph") : Lloyd S. darenan, Esq. For Respondents, JSC Securities Co., Inc. flea Jonqphthnl & Co., Inc. {"JSC") and Peter Middletxa ("Middletxn") : David Jame

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS PUBLIC In the Matter of the Arbitration Between Name of Claimants Bernie and Barbara Schwartz 91-02559 Name of Respondents The Investment Center, Inc. Neil Subin James DeBolt REPRESENTATION For Claimants: Milan K. Gregory, Esq. of the Law Offices of Milan Gregory. For Respondent Investment Center: Thomas Hanrahan, Esq. of the Law Offices of Thomas Hanrahan. For Respondent

Arbitration N.A.S.D. AWARD NATIONAL ASSOdWICN OF SECURITIES DEALERS In the Matter of the Arbitration Between NaiDeofClaiiDaiits TTvman & Mary Papri-in-i 91-02557 Of Royce Park Investments, Inc. David L. DeWind Sandra Remington National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX {212) 858-4389 Fear Claimant: For Respondent: Donald G. McGrath, Esq.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Keith A. Williams and NASD Case No. 00-04928 Denver, Colorado Name of Respondents Morgan Grant Capital Corp. Scott Mitchel Goodman Vladimir Jaime Carvallo Michael Roberts Marcus Russell David Ehrens Howard and Dale Zelin REPRESENTATION OF PARTIES Keith A. Williams ("Claimant") was represented by Richard A. Nervig, Esq., Law Offices o

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SHJUklTlSS DEALERS In the Matter of the Arbitration Between Name of Ranesh J. Kurani 91-02556 D.H* Blair & Conpany Joseph Sorbnra For Claimant: Keith Dutill, Esq. of Stradley, Rcncn, Stevens & Young in , Pennsylvania. For Respondent D.H. Blair & Company: Daniel A. Pollacic, Esq. of Pollack & Kaminsfcy in New Yorfc City. For Respondent Joseph Soadaara; David Crystal, H r Esq. of Collier, Cohe

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Zn tine Mattsr of nils Arbitration Between Name of Claimant Jon Rons 91-02551 Name of Respondent Dean Witter Reynolds, IncV **" REPRESENTATION For Claimant: Francis T. Ryan, Esq. of Ryan & Mikan, Minneapolis, Minnesota. For Respondent: Scott E. Richter, Esq. of Popham Haik Schnobrich & Kaufman, Ltd., Minneapolis, Minnesota. CASE INFORMATION Statement of Claim filed: August

N.A.S.D. ASSOCIATION OF SBCDRTTIES DEALERS In the fitter of the Arbitration Between Dusbyant Oza Keoglan & Dushyant Oza 91-02543 Mama of Street Clearing Co. CTOA Clearing, Inc. Wall rthl re Securities, Inc. For Claimant: David M. Greenberg, Esq.; San Francisco, California For Respondents: Wellshire Securities : No appearance. Wall Street Clearing, Inc.: David Goldman, Esq. of Wexler and Burfchart, Garden City, New Yorfc. OTRA Clearin