NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. 96-05440 Name of Respondent Steven M. Vavoudes REPRESENTATION For claimant A.G. Edwards & Sons, Inc. ("claimant") appeared Norman S. Buckvar, Esq., Litigation counsel for claimant. Respondent Steven M. Vavoudes ("respondent") did not enter an appearance in this matter, CASE INFORMATION Statement of Claim was filed on: December 5, 199

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant 96-05439 Name of Respondent Patrick J. Sullivan REPRESENTATION For Claimant Gregory Koester ("Claimant") appeared Richard M. Gelb, Esq., of the law firm Gelb & Gelb, LLP, located in Boston, Massachusetts. For Respondent Patrick J. Sullivan ("Respondent") appeared Philip M. Giordano, Esq., of the law firm Giordano & Champa, located in Boston, Massachusetts.

NASD REGULATION, INC. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Craig Weller and Linda Weller Name of Respondents Stratton Oakmont, Inc., Richard Haimowitz, Daniel M. Porush, Jordan Shamah, Andrew T. Greene, Paul F. Byrne, Mathias V. Tiffert, and Leonard Dunn Arbitration No. 96-05438 REPRESENTATION For Claimants: For Respondent Stratton Oakmont, Inc. F

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Margie J. Bowen, Claimant, and No. 96-05432 Norwest Investment Services, Inc., Dwight Wrich, Margo Woods, Todd Davis, Sara Masters, Brent W. Mueller, and Sandy Lippe, Respondents. REPRESENTATION OF PARTIES Claimant, Margie J. Bowen, was represented pro se. Respondents, Norwest Investment Services, Incorporated, Dwight Wrich, Margo Woods,: Todd

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Peter Gruemberg 96-05427 Name of Respondents John Kim John N. Salerno Joseph F. Roberts, Inc. Israr Nasir REPRESENTATION Claimant Peter Gruemberg ("Claimant") was represented by Carl N. Duncan, Esq., Duncan, Blum & Associates, Bethesda, MIX Respondent John Kim ("Kim") was represented by M

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Scott Dunphy ' ' • 96-05425 Name of Respondents Charles Schwab & Company, Inc. Janney Montgomery Scott, Inc. Myles H. Shoop REPRESENTATION Claimant Scott Dunphy ("Claimant") was represented by James DeCinti, Esq., Angino & Rovner, Harrisburg, PA. Respondent Charles Schwab & Co., Inc. ("Schwab

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Carol Monahan vs. #96-05424 Name of Respondents James J. Lennon Alex Brown & Sons, Inc. REPRESENTATION OF PARTIES Claimant Carol Monahan ("Claimant") was represented by Steven H. Berkowitz, Esq., Moore & Berkowitz, Southhampton, PA. Respondents Alex Brown & Sons, Inc. ("Alex Brown") and James J. Lennon ("Lennon") were re

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01381 Florence Levis and Ruth Haas, claimants vs. Bane of America Investment Services, Inc. and Charles Cook, respondents. ATTORNEYS: For Claimants appeared Sheldon M. Jaffe, Esq., Los Angeles, CA. For Respondents appeared Andrea Hackett Henningson, Esq., of the firm Steefel Levitt & Weiss, P.C., San Francisco, CA. DATE FILED: March 20, 2001 CASE SUMMARY: Claimants alleged that

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack Shalhon, (Claimant) v. Gilford Securities, Inc., Carlos Cespedes, Stephen DeGroat, and Solomon Sharbat, (Respondents) Case Number: 96-05422 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jack Shalhon, hereinafter referred to as "Claimant": Timothy J. Dennin, Timothy J. Dennin, P.C., New York, NY. Respondents, Gilford Securities, Inc. ("Gilfo

\Q\ • < vv v N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Edwin Zaharatos and Thelma Zaharatos NASD CASE NO, 96-05420 Name of Respondent Prudential Securities Incorporated REPRESENTATION For Claimants: Lawrence L. Klayman, Esq. of Lawrence L. Klayman, P.A., Boca Raton, Florida. For Respondent: V. Michael Arias, Associate General Counsel, Vice President of Prudent