N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimants William De Nicolo Telular, Inc. *-- •*** NO. 91-00948 Name of Respondents Shearson Lehman Hutton, Inc. Rodman & Renshaw, Inc. Lester W. Rodgers REPRESENTATION OF PARTIES For Claimants: Vincent Hart, Esq. and Nicholas P. Iverone, Esq. of Bellows & Bellows, Chicago, Illinois. For Respondent Shearson Lehman Hutton

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CAS;?.- 01-01795 JuLj Fugate, claimant vs. Bane of America Investment Services, Inc., respondent. ATTORNEYS Claimant appeared pro se, Sherwood, OR. For Respondent appeared John F. McGrory, Jr., Portland, OR. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged respondent did not execute trades in her account at the time she requested them to do so. Claim Data Award Data Claim: $

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Corbett (Claimant) vs. Wachovia Securities, LLC f/k/a Prudential Securities (Respondent) Case Number:Q5-01103 Hearing Site: New York, New York. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Brian Corbett hereinafter referred to as "Claimant": Harry J, Delagrammatikas, Esq., and Liam O'Brien, Esq., Liam O'Brien & Associates P.C. New Yor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stanford Group Company and Case Number: 05-01098 Hearing Site: Houston, Texas Name of Respondent James Luke Patterson NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Stanford Group Company ("Claimant") was represented by Rebecca Hamric, Esq., Stanford Group Company, Houston, Texas. James Luke Patterson ("Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01094 Anne Klotz Names of the Respondents Hearing Site: Boca Raton, Florida Ryan Beck & Co., LLC David Pines Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anne Klotz, hereinafter referred to as "Claimant": Ira F. Markowitz, Esq., Coral Springs, Florida. For Ryan Beck & C

Award NASD Dispute Resolution In the Matter of the Arbitration petween: Name of the Claimant Case Number: 05-01092 Rita .Williams Names of the Respondents Hearing Site: Tampa, Florida Advest, Inc. Edward Carlsen, Sr, Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES i For Rita Williams, hereinafter referred to as "Claimant": Kevin A. Szanyi, Esq., Webster Szanyi LLP', Buffalo, New York. i

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John D. O'Connell (Claimant) vs. Tony Cedor (Respondent) Case Number: 05-01085 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Associated Person REPRESENTATION OF PARTIES Claimant John D. O'Connell ("O'Connell") hereinafter referred to as "Claimant": Appeared pro se. Respondent Tony Cedor ("Cedor") hereinafter referred to as "Respondent": Appeared pro se.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Westminster Financial Securities, Inc. Westminster Financial Advisory Corp. Westminster Financial Companies, Inc. Names of the Respondents Briarcliff Capital Corporation Jack Spiegelman John D. Kinder Case Number: 05-01079 Hearing Site: Boca Raton, Florida Nature of the Dispute: Member and Non-Member vs. Member and Associated Person. RE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Ryan Beck & Co., Inc. (Claimant) vs. Carl Cherasia (Respondent) Case Number: 05-01068 Hearing Site: Newark, New Jersey Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant Ryan Beck & Co., Inc. hereinafter referred to as "Claimant": Michael S. Colombo, Streeetwide Asset Recovery Group, Inc., Lyndhurst, NJ. Previously represented by Jeffrey B. Co

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Donna LaFlamme, as Beneficiary of the Donna M. LaFlamme Ph.D. IRA Standard/ SEPDTD.4/6/00 Names of the Respondents Morgan Stanley Dean Witter, Inc. Barbara Zech Case Number: 05-01056 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Donna LaFlamme, as Bene