AWARD NASD Dispute Resolution, Inc. ^ In the Matter of the Arbitration Between Name of Claimant Nathaniel Barnhart and 99-04503 Minneapolis, Minnesota Name of Respondent Citicorp Investment Services, Inc. REPRESENTATION OF PARTIES Nathaniel Barnhart ("Claimant") was represented by Scott N. Heidepriem, Esq., Johnson, Heidepriem, Miner, Marlow & Janklow, L.L.P., Sioux Falls, South Dakota. Citicorp Investment Services, Inc. ("Respondent") w

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Price and Beryl Price, (Claimants) vs. Roan Capital Partners Ltd. and Roan/Meyers Associates L.P., (Respondents) Case Number: 00-05500 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, John Price ("J. Price") and Beryl Price ("B. Price"), hereinafter collectively referred to as "Claimants": Morgan W. Bentley, Esq., a sole practitioner, Newark, NJ.

r Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Louis J. Smith; Louis J. Smith and Dorothy A. Smith; and Louis J. Smith MD Inc. Money Purchase Pension Plan and Trust, Claimants v. Long Securities Corporation n, Lawrence S. Jay, and Wedbush Morgan Securities, Inc., Respondents Case Number: 99-04500 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Steve A. Buchwalter, Esq. Law Offices o

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Stuart and Kerry Leaderman Case No. 99-04491 Names of Respondents Barron Chase Securities, Inc. Robert Thomas Kirk, Jr. John Nicholas Bosco Tyler Christopher Wilson REPRESENTATION OF PARTIES For Stuart and Kerry Leaderman ("Leaderman"), hereinafter collectively referred to as "Claimants": Steven D. Toskes, Esq. and Lawrence Klayman, Esq.,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:99-04489 Olde Discount Corp., claimant vs. Dennis & Catherine Phillips, respondents. ATTORNEYS: For claimant, Olde Discount Corp. appeared in-house counsel, Aaron L. Kleid, Esq., Detroit, MI Respondents Dennis & Catherine Phillips did not respond to the statement of claim. DATE FILED: October 4, 1999 CASE SUMMARY: Claimant alleged respondent fell below the minimum maintenance requi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Namfi^ofCIaimaat Michael Faik Case No. 99-04488 Name of Respondent Ameritrade, Inc. REPRESENTATION OF PARTIES Claimant Michael Falk (Talk"), hereinafter also referred to as "Claimant" appeared pro se. For Ameritrade, Inc. ("Ameritrade") hereinafter also referred to as "Respondent": James J. Vihstadt, Esq. of Ameritrade, Inc., Omaha, Nebraska. CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Randall M. & Carol L. Swain, Claimants vs Case No. 99-04487 Salomon Smith Barney, Inc. Theodore A. Buck, Jr., Respondents Hearing Location: Baltimore, Maryland REPRESENTATION OF PARTIES Claimants Randall M. Swain, Sr. and Carol L. Swain ("Claimants") were represented by Jonathan A. Azrael, Esq., of the law firm of Azrael, Gann & Franz, LLP, Baltimore, Maryla

NASD Dispute Resolution Arbitration No. 99-04482 Award Page 1 of 6 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jack P. Lerner (Claimant) v. Walsh Manning Securities, LLC, Madison Capital Markets Corp., Royce Investment Group, Inc., and Glen Rosenbloom, (Respondents) : Case Number: 99-04482 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jack P. Lerner, hereinafter referred to as "Claimant"

. Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Hilton J. Kimless Ina Kimless Case No. 99-04473 Names of Respondents Dean Witter Reynolds, Inc. Philip E. Rosensweig REPRESENTATION OF PARTIES For Ina Kimless and Hilton J. Kimless ("Kimless"), hereinafter collectively referred to as "Claimants": Russell Silverglate, Esq., Dickenson, Murdoch, Rex and Sloan, Boca Raton, Florida

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04470 Olde Discount Corp., claimant vs. Samir J. Abushanab, respondent. ATTORNEYS: Claimant appeared through in-house counsel, Aaron L. Kleid, Detroit, ML Respondent did not respond to the Statement of Claim. DATE FILED: October 1, 1999 CASE SUMMARY: Claimant alleged that respondent failed to repay a debit balance resulting from claimant's removal of money erroneously transferred i