NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04469 Tzveta Hristova Stamenova & Kalinka Hristova Moudrova, claimants vs. Dreyfus Brokerage Services, respondent. ATTORNEYS: Claimants appeared Pro Se, Brooklyn, NY Respondent appeared through its President, Gary Martino, Beverly Hills, CA DATE FILED: October 1, 1999 CASE SUMMARY: Claimant alleged respondent Dreyfus Brokerage Services failed to execute their options buy and se

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: West America Securities Corp., Claimant v. Jason Vitulano, Respondent Case Number: 00-05497 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant West America Securities Corp.: Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondent Jason Vitulano: Jason Vitulano In Propria Persona Glen Cove, New York CASE INF

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Miles & Rosalie C. Lerman Case No. 99-04468 Name of Respondent CIBC Oppenheimer Corp. Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Miles and Rosalie Lerman ("Claimants") were represented by: William A. Harvey,Esq. and Susan M. Dean, Esq. of the law firm of Klehr, Harrison, Harvey, Branzburg & Ellers, LLP, Philadelphia, PA.

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Prime Charter LTD., (Claimant) vs. Joaquin R. Gager, (Respondent) Case Number: 99-04466 Hearing Site: New York City, New York REPRESENTATION OF PARTIES Claimant, Prime Charter LTD ("Prime"), hereinafter referred to as "Claimant": Scott D. Stechman, Esq., Lehman & Eilen LLP, Uniondale, NY. Respondent, Joaquin R. Gager ("Gager"), hereinafter referred to as "Respondent

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nori, Hennion, Walsh, Inc., (Claimant) vs. Daniel Deroche, (Respondent) Case Number: 99-04465 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Nori, Hennion, Walsh, Inc., hereinafter referred to as "Claimant": Michael V. Colvin, Esq., Dressier, Amery, & Ross, Florham Park, NJ. Respondent Daniel Deroche, hereinafter referred to as "Respondent": Robert M.

Award NASD Dispute Resolution, Inc. Case No. 99-04459 Hearing Site: Chicago, IL In the Matter of the Arbitration Between Name of Clairnant Edna Key Name of Respondent Best Vest Investment Brokerage Services Dean Hendricks REPRESENTATION OF PARTIES Claimant Edna Key ("Edna Key") was pro se. Edna Key is located in Chicago, Illinois. Respondent Best Vest Investment Brokerage Services("BVI") was represented by Nicholas J. Guiliano, E

Stipulated Award NASD DisputerResolution* Inc. In the Matter of the Arbitration Between: Louise £. Pliego, Claimant v. Paine Webber, Incorporated and David Van Acker, Respondents Case Number: 99-04456 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans & Associates Los Angeles, CA 90071 For Respondents: Gregory E. Oopetand, Esq. '"- ' : vie of ; -.;' P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04454 Joseph and Gail Yankauskas, claimant vs. TD Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimants Joseph and Gail Yankauskas, ("Claimant"), appeared Pro Se., Forked River, NJ. For Respondent TD Waterhouse Securities, Inc. ("Respondent"), appeared Janis Campanella, Esq., of TD Waterhouse Investor Services, Inc. New York, NY. DATE FILED: September 30, 1999 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:99-04453 Olde Discount Corporation, claimant vs. Julie George & Forrest E. George, respondents. ATTORNEYS: For Claimant appeared Aaron L. Kleid, Esq., in-house counsel, Detroit, MI. Respondents did not submit a response to the Statement of Claim. DATE FILED: September 30, 1999 CASE SUMMARY: Claimant alleged that respondents have failed to repay the debit balance in their joint account.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elizabeth and Francis Colombo, (Claimants) vs. The Stamford Company, Inc., Bartholomew A. DeCicco, Richard F. Fletcher, Franco Desideri, Robert J. Figliozzi; Gabriel M. Bernaschina, and Vincent R. Drohan, (Respondents) Case Number: 99-04452 Hearing Site: New York, New York I REPRESENTATION OF PARTIES Claimants, Elizabeth and Francis Colombo, hereinafter collectively referred t