Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03024 Donald H. Vliegenthart, Donald H. Vliegenthart (Consolidated with 01-04267 and 01- TTEE PFT SHR PLN & Trust Cowen & Co. 03865) Alternative Spine Center U/A DTD 3/15/96 Names of the Respondents Whale Securities Co., L.P. now known as Bluestone Capital Corp., Carlos Antonio Garceran, William G. Walters, Joseph W. McSherry and Donald J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name_of Claimants IDS Financial Services, Inc.; IDS Life Insurance Co. 94-01279 Name of Respondent James R. Fredal REPRESENTATION For Claimant: IDS Financial Services, Inc. and IDS Life Insurance Company ("IDS") were represented by Gary Irwin, Esq. of IDS Financial Corp., Minneapolis, Minnesota. For Respondent: James R. Fredal ("Freda

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Robert D. and Mary G. Waller, Trustee NASD Arbitration v. No. 94-01275 Name of Respondents) Titan Value Equities Group and Erny Malakoff REPRESENTATION For Claimants: Richard Sacks, Investors Recovery Services, Novato, California For Respondents: Donald Wagner, Wagner & Lickman, Irvine, California CASE INFO

SEP.29.1998 N.A.5.D. AWARD NASD Regulation, Inc. Office of Dispute RMotation In the Matter of me Arbitration Between Prudential Securities. Inc. 94-01570 Name of Respondent Brian Dominick Paonessa For Claimant Prudential Securities. be. ('PSI'): John B. T. Murray, Jr., Esq. of Steel Hector & Davis, West Palm Beach, Florida Respondent Brian Dominick Paonessa ("Pacmaasa") appeared joe Ifi («* "Odier Issues"). Statement of Claim filed: April 18

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward J. Kohl 94-01563 Name of Respondents) Robert W. Baird & Company Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1994, Claimant Edward J. Kohl, who appeared Pro Se, alleged that Respondent Robert W. Baird and Company, Inc. made errors in rolling over his Keogh A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Guido Condosta, (Claimant) vs. Lebenthal & Co., Inc., (Respondent) vs. Claire Comas (Third- Party Respondent) Case Number: 00-00936 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Guido Condosta, hereinafter referred to as "Claimant", appeared pro se. Respondent, Lebenthal & Co., Inc., hereinafter referred to as "Respondent": Dominick F. Evangelista

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. and 94-01561 Name of Respondent CounterClaimant and Third Party Claimant Matthew Hyde Third Party Respondents Thomas G. Stuhlsatz Thomas Owens REPRESENTATION OF PARTIES Prudential Securities, Inc. ("Claimant"); Thomas G. Stuhlsatz ("Third Party Respondent Stuhlsatz"); and Thomas Owens (

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbitration Between Hariand W. Farrell and Margaret M. Parrel I, Trustees of the Farrell Family Trust, Claimants, v. NASD No. 94-1551 Southern California Securities, Inc. and Robert Corey, Respondents. /representation For Claimant: Hariand Farrell - pro se For Respondent Southern California Securities: pro se, Los Angeles, CA For Respondent Robert Corey. Paul Hitte

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS * In the Matter of the Arbitration Between Name of Claimant Mohammed Mohin Rahman 94-01545 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 25, 1994, Claimant Mohammed Rahman, appearing Pro Se, alleged that Respondent Charles Schwab & Co. Inc.. failed in their duty to open an account

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Larry A. Herman 94-01542 Name of Respondents James Wilson Bullard, Jr. Kevin Patrick Coughlin James W. Bullard, Jr., Inc. REPRESENTATION Claimant Larry A. Herman ("Claimant") represented himself. Respondent Kevin Patrick Coughlin ("Coughlin") was represented at the hearing by Jeffrey Plotkin, Attorney at Law, New York,