N.A.SD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Principal Financial Securities, Inc. 95-04743 -„ . IA . . S> National Association of Securities Denh- Thomas Rohrer AH Rights Reserved REPRESENTATION PRINCIPAL FINANCIAL SECURITIES, INC. ("Claimant") was represented by Martin R. Castro, Baker & McKenzie, Chicago, Illinois. THOMAS ROHRER( M Respo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-01992 GKN Securities Corp., claimant vs. Miguel Ocasio, respondent. ATTORNEYS: ' For Claimant appeared Michael S. Colombo, Manager, National Collections Department, New York, NY. Respondent appeared pro se, Margate, FL. DATE FILED: April 19, 2001 CASE SUMMARY: Claimant alleged respondent failed to repay monies owed on his Promissory Note. Claim Data Award Data Claim: $3

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott, Inc.., Claimant v. Neil Fineman, Respondent Case Number: 00-0782 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Claimant: Lionel G. Hest, Esq. Fulbright & Jaworski L.L.P. 666 Fifth Avenue New York, NY 10103 For Respondent: Anthony Paduano, Esq. Smith Campbell & Paduano One Whitehall Street New York, NY 10004 unt

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Glen Swartz and Eugene Stombler, Claimants and Counter-Respondents, and William Allen, Mark Evers, Richard GrifFard, Richard Schauwecker, and David Mulligan, Claimants, and Victoria Montano, Alexander Montano, and Amy Montano % Respondents and Counter-Claimants and Consolidated CaseNos. 95-04735 and95-05927 Daniel C. Montano,

/ •\ AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant David Churchill and 9504729 Name of Respondent < t,y- ; < ^r- v "•; :-i;on of r .... I ,.,..,- Charles Schwab & Co., Inc. """" "^ ^ " :1 " REPRESENTATION OF PARTIES David Churchill ("Claimant") was represented by J. Leo Federman, Investors Rights Association; Inc., and Dennis G. Merbnbach; Esq., Sa

AWARD NASD Regulation, Inc. Office of Dispute Resolution -,.. . , . . . . 0 r © National Association of Sccumies Dealers. Inc. In the Matter of the Arbitration Between ~~ 19K Ronald D. Miller, All Rights Reserved Claimant, v. No. 95-04728 George G. Hartberg, VRockwell Financial, Inc., ^ Stonebrook Capital, and Anvillar International, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Ronald D, Miller was repres

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant Suburban Radiology Associates, P.C., Saraswathe K. Golla, Trustee 95-04719 Name of Respondent ViJay R. Basani REPRESENTATION Claimant Suburban Radiology Associates, P.C. ("Claimant") was represented by David H. Zimmer, Esq., Potomac, MD. Respondent ViJay R. Basani ("Respondent") did not appear. CAS

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mitchell J. and Rita Sabagh 95-04716 V ."iJ of Respondents Timothy D. Henry Ferris, Baker Watts, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on October 5, 1995 Claimants Mitchell J. and Rita Sabagh ("Claimants"),. through their representative Jeffrey P. Bloom,; iEsq,, Of -;-.,>

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Tony O. Miceli and Ann Lucchesi 95-04715 Name of Respondent Charles Schwab & Company, Inc. CASE SUMMARY In a case filed with the National Association of Securities Dealers, Inc. on October 5, 1995, claimants Tony O. Miceli and Ann Lucchesi ("claimants"), who appeared Pro Se, alleged that respondent Charles Schwab & Co., Inc ("

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Louis Pat Tiers, Jr., Trustee; and L. P. Tiers Family Trust, Claimant, v. No. 95-04711 Smith Barney, Inc., and Shawn Welch, Respondents. REPRESENTATION OF PARTIES Louis Pat Tiers, Jr., Trustee; and L.P, Tiers Family Trust ("Claimant") was represented by^ Robert - D. Mitchell, Esq., Scottsdale, Arizona. .X Muckdl r : c; ScoHbd