NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between William D. Steinruck as Trustee of the William D. Steinruck Revocable Living Trust dated August 27, 1987 and NASD Case Number 94-02379 The Harriman Group, Incorporated, Dennis Seleeby, Shawn Nester and Stephen Palumbo REPRESENTATION OF PARTIES Claimant, William D. Steinruck as Trustee of the William D. Steinruck Revocable Living Trust dat

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names o Estate of Alice E. Whitworth Alice E. Whitworth Trust 94-02407 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimants, Estate of Alice E. Whitworth and The Alice E. Whitworth Trust ("Whitworth"): George Franjola, Esq. of Allen, Dyer, Doppelt, Franjola & Milbrath, P. A., Orlando, Florida. For Respondent, Prudential

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Richard B. Perlman 94-02402 Name of Respondents D.H. Blair & Company Alfred Palagonia J. Morton Davis For Claimant: Ralph A. Gant, New York, New York. For Respondent: Carole R. Bernstein of Bachner, Tally, Polevoy & Misher, New York, New York. CASE INFORMATION Statement of Claim filed: June 4, 1994. Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-02401 Name of Respondent Joseph Melendez CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994, Claimant Corporate Securities Group, Inc., through its representative, Gregory Tendrich, Esq., Boca Raton, PL., alleged that Respondent Joseph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-02400 Name of Respondent Leandro Obenauer CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994, Claimant Corporate Securities Group, Inc., through its representative and in-house counsel, Gregory Tendrich, Esq., Boca Raton, PL., alleged that

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ronald V. Johnston, Claimant v. Interfirst Capital Corporation and Bradford A. Phillips, Respondents Case Number: 01-03161 Hearing Site: San Diego, California ^PRESENTATION OF PARTIES For Claimant: For Respond- Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California Eric J. F. Redwine, Esq. Redwine Law Offices Dallas, Texas CASE

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00955 Robert M. Aquila, Jr., Claimant vs. E*Trade Securities, Inc., Respondent. ATTORNEYS: Claimant, Robert M. Aquila, Jr., ("Claimant"), appeared Pro Se., Mt. Sinai, NY. Respondent, E*Trade Securities, Inc. ("Respondent"), appeared through its Compliance Manager, Bob Salvador, Menlo Park, CA. DATE FILED: March 3, 2000 CASE SUMMARY: Claimant alleged that on January 10, 2000 he plac

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Corporate Securities Group, Inc. 94-02399 Name of Respondent Patrick Imus CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 23, 1994 Claimant Corporate Securities Group, Inc. ("Claimant"), through its representative and in-house counsel, Gregory Tendrich, alleged that Respondent Pat

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Charles G. Devine, Michael P. LaVigna, Bernard H. Belle & Susan P. Kirstein, Harland A. Riker Jr. and Ann M. Riker, James A. Synk, John W. Kellar, III, David E. and Marie C. Devine, Barbara Beckingham, James L. Phelps et al (Claimants) vs. Weston Securities Corporation, Joseph Robbat, Jr., Douglas Albert Biggar, Jr., I. Richard Horowitz, Weston Properties Corp, The Finch Group, Inc., Westo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between J. Richard Matson 94-02208 Name of Respondent Kemper Securities, Inc. For Claimant, J. Richard Matson ("Matson"): Frank Strelec, Esq. of Williams, Parker, Harrison, Dietz & Getzen, Sarasota, Florida. For Respondent, Kemper Securities Inc. ("Kemper"): Renan I. Sugarman, Esq. of Kemper Securities, Inc., Chicago, Illinois. CASE INFORMATION Sta