N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Ciaimant(s) Maziar & Lucy Keshavarz Keshavaiz & Associates Inc. Amir H. Keshavarz Case No. 91-04146 Name of Respondent(s) Steven Phillips Kiouraars Hafezi First Montauk Securities Corp. Stuart James Co., Inc. REPRESENTATION For Claimants, Maziar and Lucy Kershavarz, Amir Kershavarz ("the Kershavarzs") and Kershavarz & As

NASD Arbitration No. 91-04144 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEAT.F.RS. TNC. In the matter of the Arbitration Between Name of Claimant(s) Czar Enterprise Name of Respondent fs) Pacific Brokerage Services, Inc. REPRESENTATION For Claimant: Igor Cherednichenko, .Czar Enterprise, San Francisco, California For Respondent: James R. Kruger, Pacific Brokerage Services, Inc., Los Angeles, Calif ornia and Stephen P. Bedell,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph F. Barba, Sr., Anne M. Barba, and Barba Partnership 91-04139 Name of Respondents Merrill Lynch, Pierce Fenner & Smith, Inc., and Blaise Masone REPRESENTATION For Claimants: Pat Labbadia, HI, Esq., Clinton, CT For Respondents: Martin S. Cohen, Esq., Merrill Lynch, Pierce Fenner & Smith, Inc. CASE INFORMATI

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Richard & Deborah Sidorowicz 91-04136 Name of Respondents Dean Witter Reynolds Inc. Stephen J. Lozen REPRESENTATION For Claimant Richard and Deborah Sidorowicz ("Claimants"): Harry S. Miller, Esq. and Samuel M. Shafner, Esq. of the law firm of Shafner & Gilleran. For Respondent Dean Witter Reynolds, Inc. and Stephen J. Loz

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James Springart 91-04132 Name of Respondents D.H. Blair & Company Mario Gambuzza Mark A. Giudice REPRESENTATION For Claimant James Springart ("Claimant"): Brian A. Carlis, Esq. of the law firm Stark & Stark, P.C. For Respondent Mario Gambuzza ("Gambuzza"): Franklin D. Onnsten, Esq. of the law firm of Ormsten & Evang

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #91-04130 AWARD In the Matter of the Arbitration Between Randy Arnowitz Claimant vs. PaineWebber, Inc. Respondent CA5E SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 31, 1991, Claimant Randy Arnowitz, who appeared Pro Se, alleged that Respondent, PaineWebber, Inc. failed to present his investment in First Capital Life Insu

2048B ...NATIONAL ASSOCIATION OF SECURITIES Dqft$BRfi,-INC... In the Matter of the Arbitration * • Between: PAINEWEBBER INCORPORATED, Claimant, Case No. 91-04125 against THOMAS P. BURGESS, Respondent. STIPULATION FOR ENTRY OF ARBITRATION AWARD IT IS HEREBY STIPULATED AND AGREED by and between Claimant, PAINEWEBBER INCORPORATED ("PAINEWEBBER"), Respondent, THOMAS P. BURGESS ("BURGESS"), that the arbitrators empaneled to hear the a

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATION OF SfaUJHl'i'lES DEALERS In the Matter of the Arbitration Between Name of 91-04123 Dcnincfc and Celia Xervasi Name of P**^* IH^II!n PaineWebber, lac. Howard R. Siegel Paul W«ier National Association of Securities Deafer*. Inc. NASD Financial Center 33 Whitehall Street New York. N.Y. 10004 FAX (212) 858-4389 PUBLIC For Claimant; Far Respondent: William A. DeLo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 01-00866 Thurman S. Musiaine and Jerrold R. Mwstaine, claimants vs. NatCity Investments, respondent. ATTORNEYS: For Claimants appeared Peter F, von Meister of the firm Green & Green, Dayton, OH. For Respondent appeared Cynthia J. Foresta, Assisiam Compliance Director, Cleveland, OH. DATE -FILED February 21, 2001 CASE SUMMARY: Claimants alleged thai respondent placed them in an investment

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Alan Diane Green 91-04116 Name of Respondent (s) J.W. Gant and Associates, Inc. Darren Dietrich For Claimant: Edtaard J. Dovin p Esq. of Page & Bacefc in Atlanta, Georgia. Until June 30, 1992, Respondents were represented by Jeffrey S. Rosen, Esq. of DeMarfino Finfcelstein Rosen & Virga in Washington, D.C. After that time, t