INDUSTRY N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard A. Rosenblatt & Company, Inc. Vs. Case #93-00917 AWARD Name of Respondent Aimco Securities Co., Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1993, Claimant Richard A. Rosenblatt & Co.,Inc. by and through their counsel Zevie B. Schizer of Schiz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wedbush Morgan Securities, Inc. 93-00915 Name of Respondent Joene Bone CASE SUfcffilARY In a claim filed with the National Association of Securities Dealers, Inc. on March 10, 1993, Claimant Wedbush Morgan Securities, Inc., through its representative Marie E. Eaton, alleged that Respondent Joene Bone entered into a loan agreeme

11.04.1994 17:40 P. 1 NASD AWARD Claimants Simon L. and Judith Cohen Individually and as Cust6dians for the accounts of Erica Cohen and Adam Cohen Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. and David Sanford Case Number 93-00910 REPRESENTATION For Claimants, Simon and Judith Cohen, Individually and as Custodians for the accounts of Erica Cohen and Adam Cohen ("the Cohens"): Lloyd Schwed, Esq. of Carlson Bales & Schwed,-

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03584 Charles Schwabi& Co., Inc., Claimant vs. William D, Brewer, Respondents, ATTORNEYS: Claimant appeared through Edmund V. Saucedo, Office of Corporate Counsel, San Francisco, CA. Respondent appeared Pro Se, Tupelo, MS. DATE FILED: August 17, 2000 CASE SUMMARY: Claimant alleged that Respondent placed a market order of 6,000 shares of Lotsoff Corp. Without the requisite funds

^ N.A.S.D. AWARD NATIONAL ASSOCIATTON OF SFCURTTTES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kenneth K. Murakami NASD Arbitration No. 93-00899 Name .of .Respondent Shearson Lehman Hutton, Inc. REPRESENTATION For Claimant: Philip M. Aidikoff, Esq. - Aidikoff & Kesluk - Los Angeles, California For Respondent: Michael C. Licosati, Esq. - Keesal, Young & Logan - Long Beach, California CASE TNPQRMATION State

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Christopher R. Carson 93-00898 Name of Respondent Fidelity Brokerage Services, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1993, Claimant Christopher R. Carson, who appeared Pro Se, alleged that Respondent Fidelity Brokerage Services, Inc. failed to follow

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Franklin D. Perry 93-00894 Name of Respondents Hibbard Brown & Co., Inc. Michael J. Dayton r.ASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 9, 1993, Claimant Franklin D. Perry, who appeared Pro Se, alleged that Respondent Michael J. Dayton of Respondent Hibbard Bro

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Name of Claimants William J. Nelson Colleen M. Nelson No. 93-00890 of Respondent Prudential Securities Incorporated REPRESENTATION OF PARTIES For Claimants : Mark E , Maddox, Esq . , of Coons & Saint , Indianapolis , Indiana . For Respondent : Peter Byer , Esq . , Vice President , Associate General Counsel, Prudential Securities Incorporated, New York, New York. CASE INFOR

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Edith Bristol Number- 03-02109 g r>f fhf Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Michael Paolone Michael Rotay Hearing Site; Philadelphia, PA Nature of the Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES Claimant, Edith Bristol, hereinafter referred to as "Claimant", was represented by Robert A.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thp Claimants Case Number: 03-02107 Ted and Shirley Berry; Daniel and Betty Gower; Amber J. Sievers; Natalie Gower; Keith and Beverly Kirk; Jerry and Mary McLain Littlejohn; Garry and Brenda Warner; Royce Garrett; Larry and Rheta Waldrop; Gene and Virginia Montgomery; Brian and Jane Evans; Edward and Pamela Rich; and Wayne and Karen Montgomery Name of the Respond