Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jasbir Singh, Jaswinder Kaur, and Mohan Singh, Claimants v. Thomas F. White & Co., Inc., Sunil De Silva, and Round Hill Securities, Inc., Respondents Case Number: 99-04203 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent Thomas F. White & Co., Inc. For Respondent Sunil De Silva: For Respondent Round Hill Securities, Inc.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph Huang and 99-04201 Minneapolis, Minnesota Name of Respondent Scottsdale, Securities, Inc. REPRESENTATION OF PARTIES Joseph Huang ("Claimant") was represented by John A. Murray, Esq., Sjoberg & Tebelius, P.A., Woodbury, Minnesota. Scottsdale, Securities, Inc. ("Respondent") was represented by Mark Finnegan and Jim Sheehan, Scottsdale Securitie

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Eric Rothchild, M.D. Names of Respondents Noble International Investments, Inc. Noble Investment Co. of Palm Beach William Baumner Case No. 99-04200 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Eric Rothchild, M.D. ("Rothchild"), hereinafter referred to as "Claimant": Lloyd R. Schwed, Esq., Kubicki Draper, West

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard M. Mitchell, Claimant vs. Salomon Smith Barney, Inc. and Citigroup, Inc., Respondents. Case Number: 99-04198 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant, Richard M. Mitchell ("Mitchell"), was represented by Joseph J. Dehner, Esquire, of Frost & Jacobs, LLP, Cincinnati, Ohio. Respondents, Salomon Smith Barney, Inc. ("Smith Barney"), and Cit

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC> CASE: 99-04196 Stanley M. Levin, Claimant vs. Michael DiFrancesca, Douglas Policino, George Malagon and Leland Swift, Respondents. ATTORNEYS: Claimant, Stanley M. Levin, ("Claimant"), appeared Pro Se. ? Falls Church, VA. Respondent, Douglas Pollicino, ("Pollicino"), appeared Pro Se., East Norwich, NY. Respondent, Leland Swift, ("Swift"), appeared through Dr, Jerome Stenehjem, San Diego,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04195 William C. Needier and Doris Needier Jt. Ten., Claimants vs. Cambridge Capital, LLC vs. Jacob Feder, Respondents. ATTORNEYS: For Claimants William C. Needier and Doris Needier ("Claimants"), appeared Steven J. Nelson, Esq., of the firm Newman & Nelson, Inc., Covina, CA. For Respondent, Cambridge Capital LLC, ("CCL"), appeared Mark F. Magnozzi, Esq., of the firm Helfand & Helf

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04194 Paula M, Kelty, Frank Roldan and Martha Roldan, claimant vs. Prudential Securities, Inc. and Joseph P. Reedy, respondents. ATTORNEYS: Claimants appeared Pro Se., St. Paul, MN. For Respondents appeared in-house counsel Theodore M. Davis, Esq., New York, NY, DATE FILED: September 13, 1999 CASE SUMMARY: Claimants alleged that respondents provided unsuitable investment advice

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Merrill Lynch Pierce Fenner & Smith, Inc. vs. Case No. 99-04191 Name of Respondent Josh D. Kelso REPRESENTATION OF PARTIES Claimant, Merrill Lynch Pierce Fenner & Smith, Inc., hereinafter referred to as "Claimant" Jonathan K. Rudd, Esq., McNees, Wallace £ Nurick, Harrisburg, Pennsylvania Respondent, Josh D. Kelso, hereinafter referred to as "Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Marie A. Lanza Case No, 99-04177 H&R Blocte Financial Advisors, Inc. Edward A. Tracy Hearing Site; Pittsburgh, PA Claimant, Marie A. Lanza ("Claimant") was represented by: Roger L. Wise, Esq., Heintzman Warren Wise & Fornella, P.C., Pittsburgh, PA. Respondent, Olde Discount Corp. ("Olde") was represented by Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, IL,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name, of the Claimant Sarjit Bharj Name, of the Case Nnmher: 99-04176 Lloyd Wade Securities, Inc. mgSife- Philadelphia, Pennsylvania RF.PRFSP.NTATTON OF PAKTTFS Claimant Sarjit Bharj ("Bharj") represented himself. Respondent, Lloyd Wade Securities, Inc. ("Lloyd") was initially represented by David E. Graven, Esq., Aurora, Colorado. On or about January 22, 2002, Mr. G