PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01293 AWARD In the Matter of the Arbitration Between William C. Trainor Claimant vs. Legg Mason Wood Walker, Inc. Ruth Robinette Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 23, 1991, Claimant William C. Trainor who appeared Pro Se, alleged that on August 11, 1988 Respondent Ruth Robinette, Assistan

N.A.S.D. AWARD ASSOCIATION OP SECCRTTIES DEALERS In the Matter of the Arbitration Between Anthony & Kathryn Skaf f Manna of Global America Inc. Michael MarkowsfcL Carlo Ryprios John Steinmetz Joseph Biccio Patrick Riccio 91-01291 Claimants were represented by Patrick E. Meyers, Esq. of Moye, Giles, O'Keefe, Venneire & Gorrell, Denver, Colorado. BespcodeDta Global Anarica, Inc. and Michael Haztawsld. were represented by Leon B

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of thg Claimant Case Number: 01-01821 J.Allen Boyle Names of the Respondents Hearing Site: Pittsburgh, PA PNC Capital Markets, Inc. PN&f iriancial Services Group, Inc. Richard J. Tito RFPRF.SFNTATTON OF PARTIES Claimant, J. Allen Boyle, hereinafter referred to as "Claimant", was represented by Jeffrey L. I.iddle, Esq, Liddle & Robinson, L.L.P., New York, New York.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00767 Dean Witter Reynolds Inc., claimant vs. Egal Tsadyk, respondent. ATTORNEYS: For Claimant appeared Diane C. Fischer, Esq. of the firm Kane & Fischer, Ltd., Chicago, IL. Respondent appeared pro se, New York, NY. DATE FILED: February 22, 2000 CASE SUMMARY: Claimant alleged that the Respondent participated in a training program and subsequently terminated his employment, thereby

Arbitration --- tfA.S.D. AWARD National Association of Securities Dealers, Inc. NATICNAL ASSOdATICN OF SECURITIES DEMURS NASD Financial Center 33 Whitehall Street - - - — - : - -— - New York. N.Y. 10004 In the tfetter of the Arbitration Between FAX (2 1 2) 858-4389 Q£ Scnya Morris 91-01280 pf Berkowitz, Pierchalski Inc. Rick Piercfaalski For Claimant Sonya Harris ("daimant"): Harold L. Krainin, of Krainin & McKenzie.

PUBLIC Arbitration © National Association of N.A.S.D. AWARD Securities Dealers, Inc. NASD Rnancial Center NATIONAL ASSOCIATION OF SECURITIES DEKLERS J3 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 la the Matter of the Arbitration Between Name of Robert S. Lewis Retirement Trust Robert S. Lewis 91-01276 Name of Respondents Bear Stearns & Company Elliot M. Hershberg REPRESB^IALl'ICK For Claimants Robert S. L

N.A.S.D. AWARD NKTICNMi ASSQC1ATICN OF SECURITIES DEALERS In the Hitter of the Arbitration Between. " Q£ m Norbetrt & Tiltiria Pann vs. NASD #91-01275 Dean Witter Reynolds, Inc. Fccr daimntss Rcbert C. Ftacchia, Esq., Dobbins, Weir, Ttorpscn & Stepbenson, Vacavllle, California. FOOT SfifipeodBntt Wcody R. Jtabdnaon, Esq., Dean Witter Raynolds,. me., San FraDcisoo r Statement of Claim filed: April 23, 1591 a*—*— 4—* ijr"^-^ signad out

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between vTatfTM of Claimant Arnold L. Rosen Mams of Respondent (s) Shearscn Tirihmn Huttcn f Inc. Alan Yarfcin 91-01264 Arbitration National Association of SecurttfM Daaltri, Inc. One East Broward Boulevard Suite 1000 Ft Lauderdato. Florida 33301 (305) 522-7391 For Claimant, Arnold Rosen ("Rosen") : Michael R. Casey, Esq. of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant William L. Lancaster, Jr. - Curneil Dunning David A. Jones Jeffrey B. Postell, Sr. _-, ^ Bobby C. Jones Joe Gipson and 91-01254 Name of Respondents Harris Securities, Inc. Harold P. Robb REPRESENTATION OF PARTIES Claimants William L. Lancaster, Jr., Curneil Dunning, David A. Jones, Jeffrey B. Posteil, Sr.,

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-01250 AWARD In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. Claimant vs. Ernie S. and Leora C. Perea Respondents CASE SUMMARY In a claim filed with the ^National Association of Securities Dealers, Inc. on April 22, 1991, Claimant, Dean Witter Reynolds, Inc. by and through their outside counsel, Dominick J. Dorata, Esq. , Sole Practitioner, New Yo