Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Lee Family Trust, Lawrence Lee and Marilyn Lee, Claimants v. Securities America, Inc. and Michael R. Klein, Respondents Case Number 00-04894 Hearing Site: Salt Lake City, UT REPRESENTATION OF PARTIES For Claimants: A. Robert Thorup, Esq. Ray, Quinney & Nebeker 79 South Main Street P.O. Box 45385 Salt Lake City, UT 84145 For Respondents: Mark J. Appleton, Es

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Michael E. Wiseman Cathy D. Wiseman vs. Paragon Capital Corporation Mark Cohen Claimants Respondents CASE 190-03613 ANARD Michael E. & Cathy D. Wiseman vs. Paragon Capital Corp. & Mark Cohen COW WITH David F. & Maria Zuppke vs. Paragon Capital Corp. & Mark Cohen CASE SUMMARY Pro Se Claimants, Michael E. and Cathy

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Kenneth Shavelson Claimant vs. CASE* 90-03299 MODIFIED AWARD Smith Barney Harris Upham & Co., Inc. Lenard Feldman Respondents Heard before: Edward M. Sills, Esq. Public Arbitrator CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 20, 1990, the Claimant Kenneth Shavelson alleged that R

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant- Richard M. Albert 90-03295 Name of Respondents Bear Steams & Company Curtiss Parker Richard M. Albert was represented by Tony Kaufman, Esq. of Dallas, Texas. Bear Stearns & Co., Inc. and Curtiss Parker were represented by Cheryl Jerome, Esq. of Hewitt & Jerome, Dallas, Texas. In a statement of claim filed with the Nati

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfatter of the Arbitration Between ) ) Namaof Chris ffottram Kashner Davidson Securities, Inc. Case No. 90-03290 For Claimant, Chris Mottram ("Jtottraro"): A. Grant Bohl of D.B. Managanent. For Respondent, Kashner Davidson Securities, Inc. ("Kashner"): William T. Kirtley, Esq. of William T. Kirtley, P.A. Statement of Claim filed: on November 20, 1990 and amended on December 17,

NATIONAL ASSOCXAHCN OF SJJJIJkiTJJES HEATERS [y ! \ FEB 2 61992 In the Matter of the Arbitration Between ; \. Gary Tnieret 90-03289 Mama of Respondent SSooith Barney Harris D^bam & Co., Inc. Claimant Gary Ihieret was represented by William F. Meehan, Esq. of Carbcoodale, Illinois. Respondent Sooith Barney, Harris,, qpham, & Co., Inc. was represented by H. Tbdd Iveson, Esq. of Green, Hoffmann & Dankenbring, St. Louis, Missouri. CASE

N.A.S.D. AWARD NAHCNAL ASSOCEATICN OF SECORITIES DEALERS In the Matter of the Arbitration Between Q£ Elizabeth B. Sutphln 90-02662 Name Of P**ppnnHont Securities IDC. Claimant was represented by Richard Mdttsnus, Esq., Denver, Colorado. Respondent was represented by Herbert J. Marefc, Esq* of Prudential Securities, Inc. , New York, New York. Statenent of riaim filed on or about September 25, 1590. daimant f s Submission Agreement

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Jfatter of the Arbitration Between ) ) Name of Claimantfs^ ) ) Henry F. Hill ) ) ) Name of RognnnHianf (« ^ ) ) Pershing Financial Group ) Inga M. Werlitz ) Werlitz Securities, Inc. ) U.S. Clearing Corp. ) Case No. 90-02661 For Claimant, Henry F. Hill ("Hill"): Robert L. Byman, Esq. of Jenner & Block. For Respondents, Inga M. Werlitz ("Wsrlitz") and

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Bruce and Rebecca Yordy American Express Financial Advisors, Inc. IDS Life Insurance Company Jerome L. Stachura Ryan D. Murray In the Matter of the Arbitration Between nf Plaimnnt Lorraine Yordy American Express Financial Advisors, Inc. IDS Life Insurance Company Jerome L. Stachura Ryan D. Murray Hearing Site: Philadelphia, PA Case No. 00-04890 (

Arbitration National Association of N.A.S.D. AWARD Securities Dealers. Inc. NASD Financial Center NATIONAL ASSOCIATION OF SECURITIES DEALERS 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 In the Matter of the Arbitration Between of Claimant Walter S. Grossman 90-02658 Name of Respondent Charles Bolanis, II For Claimant ("Claimant") : Gregory A. Santarelli, a sole practitioner. For Respondent ("Respondent") : William