N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc. Case# vs. 92-03674 "i ' Name of Respondent Philip C. Puccio REPRESENTATION For Claimant: Gilbert W. Boyce, Esq. and Joseph Ingrisano, Esq. of Kutak Rock. For Respondent: Franklin D. Ormsten, Esq. of Ormsten & Evangelist CASE INFORMATION Statement of Claim filed: October 29, 1992. Claim

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Carl W. Poe 92-03671 Name of Respondents Stratum Oakmont. Inc.; Bear Stearns Securities. Corp.; Howard S. Geifand; Kenneth S. Greene; Jordan R. Belfort; Daniel M-Porush. . REPRESENTATION For Claimant: Carl W. Poe ("Poe") was represented by William J. Hawkins, Esq. of Houston, Texas, and Daniel R. Kirshbaum, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Charles S. Walsh 92-03668 Name of Respondents Olde Discount Corporation Todd M. Pearson Jonathan M. Bower CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 29, 1992, Claimant Charles S. Walsh, who appeared Pro Se, alleged that Respondent Todd M. Pearson, while employed by

o / f National Association of Securities Dealers Case Number 92-03667 In the Matter of the Arbitration Between Aaron S. Bell, Trustee, The Jacob Bell Family Trust, Claimant and capital Analysts of New England, Inc Charles Evan, Case Information: Respondents Decision and Award This matter was submitted to arbitration pursuant to a Uniform Submission Agreement executed by Claimant August 5, 1992; by Respondent Evan January 20, 1993

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Nfome of Claimants John D. and Linda Armstrong and 92-03661 of Resondents Cullom & Sandow Securities, Inc. and Richard Wells REPRESENTATION OF PARTIES John D. and Linda Armstrong ("Claimants") were represented by Arch B. Gilbert, Esq., Fort Worth, Texas. 4 •» . i » Cullom & Sandow Securities, Inc. and Richard Wells ("Responden

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant! s) Upsilon Intemation Corp. Eudoro A. Olguin Case No. 92-03647 Name of Resoondent(s) Prudential-Bache Securities Inc. Nicholas Sanee REPRESENTATION For Claimant. Upsilon Intemation Corp. ("Upsilon") and Eudoro A. Olguin ("Olguin"):, William P. Doyle, Esq. For Respondents, Prudential Securities, Inc. ("Prudential") and

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SKCUKTTTTyS DEALERS. INC. In the matter of the Arbitration Between (laimant Marion Roen NASD Arbitration. No: 92-03646 Mamj* nf Respondents Kidder, Peabody & Co. Inc. Elton Bell REPRESENTATION For Claimant: Robert E. Dunne, Esq. • Morgan, Ruby, Schofield, Frnich fit Fredkin • San Jose, California For Respondents: William H. Phelps, Esq. - Kidder, Peabody & Co., Inc. - Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities, Inc. 92-03642 Name of Respondent Michael O'Neill REPRESENTATION For Claimant: John Camperlengo, Esq., Assistant Vice President, Prudential Securities. Inc. For Respondent: Respondent appeared Pro Se. CASE INFORMATION Statement of Claim was filed on October 23, 1992. Claimant's Submission Agreement

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-02511 Cornelius Shields, claimant vs. Wit Capital Corporation, respondent. ATTORNEYS: Claimant appeared pro se, New York, NY. For Respondent appeared Charles M. Mattingly, Esq., in-house counsel, Old Greenwich, CT. DATE FILED: May 14, 2001 CASE SUMMARY: Claimant alleged that respondent placed incorrect information on his Form U-5 regarding the termination of his employment. Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jon L. Weingart, M.D., individually, and Jane Weingart, individually and Richard Zahn, M.D. and Jon L. Weingart, M.D., trustees of the Surgical & Medical Neurology Associates, Inc. Profit Sharing and Pension Trusts 92-03819 Name of Respondents Butcher & Singer, Inc. (n/k/a Wheat First Butcher Singer, Inc.) George S. Hoffman RE