Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS National Association of Securities Dealers, Inc. NASO Financial Center 33 Whitehall Street New York, New York 10004 In the Matter of the Arbitration Between Name of Claimant Dong Ku Lee vs Name nf 90-01962 Wellshire Securities , Inc. William Ross George Cooper Michael Howard Heard before: Mama Dora M. lassinger Public - Robert L.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant (s) Ccomonwealth Publishing Co., Inc. 90-01S60 Name of Respondent (s) Planners Securities Group, Inc. John A. Reilly For Claimant: Personal Representative Cord Stehr of Boston, Massachusetts For Respondent: Angela Msrin, Esq. of Gushing and Morris in Atlanta, Georgia CASE Statement of Claim filed: July 16, 1990 Claimant

N.A.S.D, -AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Robert W. and Barbara A. Yarger /' •/'(" 90-01959 / \Ur Name of Respondent^ IDS Financial Services, Inc. Mitchell Keil Janet Mabry In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on or about July 16, 1990, Claimants Robert W. and Barbara A. Yarger ("Claimants") alleged that Re

SSOCIATIC:: or oEcuH.iTi£3 -LALF^S, :NC Matter of the Arbitration d J . Buckley -en Lehman Hutton, Inc. n/k/a son Lehman Brothers, Inc. Federowicz .s Sanderson Respondent? Pro ~Se Claimant Mildred T aucklev . ir a c.< .•,*.•»• . - wi.:- "h . Association of Secur* t.ies* Deei-urs, .rnc -r: • .6, ' - that Respondent Shearsrr* Le^uaar, HuV;nr*. *;;c -:ac/ n I.ehiaan Brothers, 1/iv . ^c cru.' u .t:c=- for "v 1 ...:• -u:v

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #90-01957 AWARD In the Matter of the Arbitration Between Fred G. & Ruth Scheuer Claimants vs. Thomas F. White & Co., Inc. Respondent CASE SUMMARY Fred G. and Ruth Scheuer, in a claim filed with the National Association of Securities Dealers, Inc. on July 16, 1990, alleged that Respondent was negligent in replacing lost stock certificates and notifying Claimants of the loss. Claima

HJUS.D. Do. of 90-01345 , IDC. For Bryce Broughtca* Ftuechtaoicbt & Logan, Fort Mryne, Indiana. Fletcher, ST., Esq. of Rothberg, D. For Heal Gecber & Eisoiberg, Qiicago nilnois. aittcxi. Inc.; Jerry K« Santangelo, Eaq* of - Statemt of fi»4m filed on July 12, 1390. dadjnaat's Subnisslon AgreouDt fl^g"^^ on Jtily 6, 1990* Statanmt of Answer filed by Respondent, Shearson Leboan Huttcn, Inc. on Scptenber 12, 1990.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jesse R. and Luria M. Chitwood 90-01944 Name of Respondents Shearson Lehman Hutton. Inc. Daniel Miller Heard before: Public/Industry Robert P. Ross Public Arbitrator Andrew M. Temin Public Arbitrator Burgess Davis Industry Arbitrator CASE SUMMARY In a claim filed by Jesse R. and Luria M. Chitwood ("Claimants")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph and Shirley Main 90-01938 Name of Respondents Dean Witter Reynolds, Inc. Frank Isabelli For Claimants at the hearing: Peter Karabas. Esq. and Elizabeth Fiesan, Esq. of Abramson & Fox, Chicago, Illinois. For Respondents at the hearing: Charles Risch, Esq. and Randall Gold, Esq. of Lawrence, Kamin, Saunders & Uhlenhop

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants George C, Hiller and Jayne Hiiler, JTWROS and Names of Respondents Russo Securities, Inc. Richard Russo, Ferdinand Russo William G, Brown, Joseph A. Depergola, and Jacob Nihamin Case Number: 00-04810 Hearing Site: Omaha, Nebraska George C. Hilier and Jayne Hiller, JTWROS ("Claimants") were represented by Guy R. Cook, Esq., Grefe & Sidney, PLC

N'.A.i.D. --AVARD NATIONAL /iSSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimant Georee E. Morris W-01937 Name of Respondents Paribas Corporation Paribas North America Inc. Michel Francois Poncet Oliver Robert Piani Francois Morin John F. Cuneo Patrick Vemon King Stevenson Kevin Moynihan Thomas Webster Matchett. Jr. Phillipe Blavier Alain Dewulf Mark Vermeullen REPRESENTA