Award NASD Dispute Resolution In the Matter of the Arbitration Between: BNS Partnership, Brian Shiftman, Neil Shiffman, Susan Shiffman Kaufman, and Shirley Shiftman (Claimants) v. Kirlin Securities, Inc., UBS Financial Services, Inc. f/k/a PaineWebber, Inc., and Gary Vogt (Respondents) Case Number: 03-00739 Hearing Site: New York, New York Nature of the Dispute: Customers vs. Members and Associated Person. REPRESENTATION OF PARTIES Claimants BNS Par

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Joseph C. Bama And 03-00518 Nashville, Tennessee Name of Respondent Firstrade Securities, Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Joseph C. Barna ("Claimant") was represented by G. Kline Preston, IV, Esq., Preston Law Group PC, Nashville, Tennessee. Firstrade Securities, Inc. ("Respondent") was represented by Pet

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bruce Johnson, Claimant v. Olde Discount Corporation, Drew Roth, Daniel Katzman, Ernest J. Olde, Stanley A. Snider, Andrew Paultanis, James S. Freeman, Randal J. Mudge, Michael S. Dzialo, and Daniel S. Patterson, Respondents Case Number: 99-01110 Arbitration Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Bruce Johnson: Robert Uhl, Esq. Aidi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Alex Leykin v. E*Trade Securities, Inc. Case Number: 99-912 Hearing Site: Milwaukee. Wisconsin REPRESENTATION OF PARTIES Claimant, Alex Leykin, hereinafter referred to as "Claimant": Mark E. Sanders, Esq. And Mary Beth Peranteau, Esq., Haljing & Cayo, Milwaukee, Wisconsin. Respondent, E*Trade Securities, Inc. hereinafter referred to as "Respondent": Ekwan E. Rhow Esq. And Gary H.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-00717 Ken Cutler, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant, Ken Cutler ("Claimant"), appeared Pro Se., Miami, FL. Respondent, Ameritrade, Inc. ("Respondent"), appeared through its Vice President, James A. Ricketts, Bellevue, NE. DATE FILED: 02/17/1999 CASE SUMMARY: Claimant alleged that Ameritrade failed to execute a sell transaction

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant George Sers Case No. 99-00129 Names of Respondents Thos. K. Wasserman & Associates Incorporated Thomas K. Wasserman Alfred Wilfred Simoneau REPRESENTATION OF PARTIES For Claimant: Lonnie K. Martens, Esq. of Kelley & Warren, P.A., West Palm Beach, FL. For Respondents Thos. K. Wasserman & Associates Incorporated ("TKA"), Thomas K. Wasserman ("Wasserma

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: Jay T. Pierce. Raymond Fisk. and Jennifer Fisk. Claimants v. Waldron & Co.. Inc.. Cery B. Perle. Michael D'Amico, Michael Visbal. Wedbush Morgan Securities. Inc.. Edward Harris, and Jon G. Aubry, Respondents Case Number: 98-03798 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent Waldron & Co., Inc. For Respondent Cery B.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Scott Schuitz and Schultz Investment Advisors, Inc. vs. Kathy Bradford, Dominion Investor Services, Inc., and Dominion Financial Advisors, Inc. (97-5591) and Scott Schultz and Schultz Investment Advisors, Inc. vs. Dominion Investor Services, Inc., and Dominion Financial Advisors, Inc. (97-4981) Case Number: 97-5591 & 97-4981 (consolidated) Hearing Site: Detroit, Michigan REPRESENT

NASD Re 9 ulation > |nc - Office of Dispute Resolution REGULATION 125 Broad Street " 36th Floor * New York, NY 10004-2193 ' 212-858-4400 * Fax 212-858-4389 An NASD Company Satelite Office at 1735 K Street * 4th Floor * NW 'Washington. DC 20006-1506 * 202-72B-8958 * Fax 202-723-6952 N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02984 Robert L. Wall, claimant vs. Merrill Lynch Pierce Fenner

NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Eugene Bellagamba and Josephine Bellagamba and 97-03141 Name of Respondent Baker Weeks & Company now known as Hornblower & Weeks, Inc. Alden Capital Markets, Inc. John Rooney James Cohen Alexander Naroditsky a/k/a Alexander Narod Jeffrey Chicola REPRESENTATION OF PARTIES Eugene Bellagamba an