NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03269 Andrew Skurowitz and Ariva Skurowitz, Claimants vs. National Discount Brokers, Respondent. ATTORNEYS: Claimants, Andrew Skurowitz and Ariva Skurowitz, ("Claimants") appeared Pro Se, Stamford, CT. For Respondent, National Discount Brokers, ("Respondent") appeared Douglas P. Lobel, Esq. of the firm, Kelley Drye & Warren LLP, Washington, DC. DATE FILED: July 19, 1999 CASE SU

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS 1 ''" -0 In the Matter of the Arbitration Between Name of Claimant Cindy R. Davis 94-01064 of Respondents Shearson Lehman Brothers, Inc. Glenn Elliott Dropkin For Claimant, Cindy R. Davis ("Davis"): Don L. Horn, Esq. of Gallwey Curtis Vento & Horn P.A., Miami, Florida. For Respondents, Shearson Lehman Hutton, Inc. ("Shearson") and Glenn Dropkin ("Dropkin"): Gavin S. Appleby, Esq.

NASD REGULATION, INC. AWARD Office of Dispute'Resof ution In the Matter of the Arbitration Between Neale W.Sanchez Marie A. Sanchez Case No. 94-05535 Namqe ^Respondents Shearson Lehman Brothers, Inc. Joseph Malamey Thomas Paulus REPRESENTATION OF PARTIES For Claimants: Monica I. Sate, Esq. of the law firm of Monica I. Sails, PA, Fort Lauderdate, Florida. For Respondents Shearson Lehman Brothers, Inc. n/k/a Salomon Smith Barney, Inc.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kevin B. Murphy (Claimant) vs. Merrill Lynch, Pierce, Fenner & Smith, Inc. (Respondent) Case Number: 05-02481 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Kevin B. Murphy ("Murphy") hereinafter referred to as "Claimant": Jacob H. Zamansky, Esq., Zamansky & Associates, LLC, New York, NY. Respondent Me

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Schonfeld Securities, LLC and Spectrum Capital Partners, LLC (Claimants) v. Mark Kim, Xiang Chen, and Claire Young Park (Respondents) Case Number: 03-04395 Hearing Site: New York, New York Nature of the Dispute: Member and Non-Member vs. Associated Persons. REPRESENTATION OF PARTIES Claimants Schonfeld Securities, LLC ("Schonfeld") and Spectrum Capital Partners, LLC ("Spectrum")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kenneth Kaplan and Lois Kaplan (Claimants) vs. Merrill Lynch Pierce Fenner & Smith, Inc., Audrey Kurtzman, George Sula, and David April (Respondents) Case Number: 04-05839 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Member and Associated Persons REPRESENTATION OF PARTIES Claimants Kenneth Kaplan ("K. Kaplan") and Lois Kaplan ("L. Kaplan"), herein

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Burton M. Pike, as Trustee of his IRA Account 94-03138 Name of Respondents David Magun J.B.Hanauer & Co. REPRESENTATION For Claimant, Burton M. Pike, Russell L. Forkey, Esq. of Fort Lauderdale, Fl. For Respondent, David Magun ("Magun"), R. Lawrence Bonner, Esq. of Greer, Homer and Bonner, P.A., Miami, Fl. For Respondent

99OS08O AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Nancy M. Raymond Revocable Trust 98-02970 Names of Respondents Prudential Securities Incorporated John Egan REPRESENTATION For Claimant: Albert A. Rapoport, Esq., Boca Raton, FL. For Respondents Prudential Securities Incorporated ("Prudential") and John Egan ("Egan"): David D. Hartung, Esq. of Prudential Securities Incorporated Law Departmen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert P. Sauer, III 94-02853 Name of Respondents Comprehensive Capital Corp. Tim Ciraulo REPRESENTATION For Claimant, Robert P. Sauer, ffl ("Sauer"): Howard A. Tescher, Esq. of Kipnis, Tescher, Lippman, Valinsky & Kain in Fort Lauderdale, FL. For Respondents, Comprehensive Capital Corp. ("CCC") and Tim Ciraulo ("Ci

N.A.S.D. AWARD ASSoaxncN OP SBOORITIES DEALERS In tbe Hatter of the Arbitration Between Mary v. Roberta Marlon Bleafcley Bfergaret Petrie Mercedes Parrino 91-00255 Same of Respondent (a) John T. MaCue First Investors Goxporatioa Fbr Claimants: Sanuel F. Abema(±y, Esq. of M"gmV«"- & Herrmann in New York City. Fbr Respondents: Glenn R. Reichardt, Esq. of Ktrkpatzick & Lockhart in Washington, D.C. Statement of Claim filed: Janua