Award NASD Dispute Resolution In the Matter of the Arbitration Between: Said Khatib and Elizabeth Puccio Khatib, Claimants v. Northridge Capital Corporation, Frederick J. Hentschel, III, Ryan M. Jeffreys, Michael S. Weiner, Joseph Arbia, III, Maria C. Maglione, David J. Morochnick, and Vincent Capetta, Respondents Case Number: 00-04196 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTAT

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Russell & Giti Malboubi, Claimants v. Merrill Lynch, Pierce, Fenner & Smith Incorporated and James J. Dyer, Respondents Case Number: 02-03025 Hearing Site: San Francisco, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: James Jay Seltzer, Esq. Michael Harrington, Esq. Law Offices of James Jay Selt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Audrey J. Tisch 92-00282 Name of Resoogdent^ Shearson Lehman Hutton, Inc. Peter Redpath For Claimant, Audrey J. Tisch (""risen"): Thomas R. Grady, Esq. of Grady & Associates. For Respondents, Shearson Lehman Hutton, Inc. ("SLH") and Peter Redpath ("Redpath"): Robert V. Williams, Esq. of Williams Reed Weinstein Schifino et

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Maryam Khansari, ("Claimant") vs. Continental Broker-Dealer Corp. and Allen Surendran, ("Respondents") Case Number: 99-03052 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Maryam Khansari, hereinafter referred to as "Claimant": Ralph A. Gant, Esq., a sole practitioner, New York, NY. Respondents Continental Broker-Dealer Corp. ("Continental") and Allen Surendran

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Ruben Wolf Claimant CASE #92-00280 AWARD vs. Dougherty, Dawkins. Strand & Yost. Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 27, 1992, Claimant Ruben Wolf by and through his personal representative Bruce Pearson, alleged that in October of 1986 he was sol

NASD Arbitration No. 92-00270 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ George Fenimore, Trustee Name of Respondents) Kayne, Anderson & Co., Inc. Benjamin Bush REPRESENTATION For Claimant: H Thomas Fehn, Esq., Fields, Fehn & Sherwin, Los Angeles, California For Respondents: Stephen Young, Esq., Keesal, Young & Logan, Long Beach, California CASE INFORMA

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00266 AWARD In the Matter of the Arbitration Between Anthony J. Russo Claimant vs. Hibbard, Brown & Co., Inc. Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 24, 1992, Claimant Anthony J. Russo by and through his counsel, Robert I. Rabinowitz, Esq., Sole Practitioner, Red Bank, New Jersey, alleged that on May 10, 19

N.A.S.D. AWARD NATIONAL ASSOCIAITON OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Barbara Stravitz Steven Stravitz Paul Stravitz Susan Stravitz Andrew Stravitz 92-00263 Name of Respondents Gary Goldberg & Company, Inc. Gary M Goldberg For Claimants Barbara Stravitz, Steven Stravitz, Paul Stravitz, Susan Stravitz, and Andrew Stravitz ("Claimants"): William A. DeLorenzo, a sole practitioner. F

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Robert L. Beacher 92-00260 Name of Respondents Concorde Brokerage Corp, Michael Eisenberg REPRESENTATION For Claimant, Robert L. Beacher: James P. Newell, Esq. and Robert L. Beacher, pro-se. For Respondent, Concorde Brokerage Corp.: Michael F. Bachner, Esq., a sole practitioner. For Respondent, Michael Eisenberg: Michael Ei

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name of Claimants Ken Bergeron. Mary Ann Bergeron. Advanced Business Telephone Profit S.P.. ABT Inc.. ABT Trust. Gerald Bergeron. Cathy Bergeron, lodd Bergeron, and Daniel Bergeron 92-00257 Name of Respondents Shearson Lehman Hutton. Inc.. Ivan Hovey, and Chuck Sjostrom For Claimants at the hearing: David A. Brueggemann. Esq. of Arnold