AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Frances R. Bradley, individually and as trustee of the Frances R. Bradley Revocable Trust 98-00492 Names of Respondents Josephthal Lyon & Ross, Inc. n/k/a Josephthal & Co., Inc. and Carol Phillips REPRESENTATION For Claimant Frances R. Bradley, individually and as trustee of the Frances R. Bradley Revocable Trust: Brenda M. Combs, Esq. of Willia

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00491 Frances O'Donald, claimant vs. Bailey Spears and Schneider Securities Inc., and James R. Shaw respondents. ATTORNEYS: Claimant appeared Pro Se. - Neptune Beach, FL. Respondent Bailey Spears appeared Pro Se. - Norcross, GA. For respondent Schneider Securities, Inc. appeared Siegfried Duray-Bito - Denver, CO. Respondent James R. Shaw is not a member and did not agree to submit to arbitration. DATE FILED

. AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant James J, Weber v. Arbitration No. 98-00490 Name of Respondents European Community Capital, Ltd., Anthony Duque, Marc Freeman, Jeffrey Lefkowitz, Alfred Bromberg, Joseph Krochak, First United Equities Corp., James Pelizzi, Jason Cohen, Jonathan Winston, Frank Giacchetto, and Douglas Traynor REPRESENTATION For Claimant: Jay R. Stein, Esq.

NASD REGULATION. ISC In the matter of the Arbitration Between Name of Claimant fa) James Frederick Easter Arbitration No. 98-00482 £Jame,_pf_ Respondent fs). Gary Teran REPRESENTATION For Claimant: P. Bruce Badger, Esq., Fabian & Clendenin, Salt Lake City, Utah For Respondent: Samuel Y. Edgerton, III, Esq., Nash & Edgerton, Hermosa Beach, California CASE INFORMATION Statement of Claim filed: February 6, 1998 Claimant's Submis

i STIPULATED AWARD NASD Dispute Resolution, Inc. %, /, c>2__ In the Matter of the Arbitration Between Name of Claimant Brenda Andreas Case No. 00-05457 Name of Respondents UBS PaineWebber, Inc. Hagood Clarke, HI Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Brenda Andreas ("Andreas"), hereinafter referred to as "Claimant": Russell C. Silverglate, Dickenson, Murphy, Rex and Sloan, Boca Raton, Florida. For UBS Pai

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Alexander Centre International Brokers, Inc. 98-00479 Name of Respondents Murphy & Durieu Richard J. Murphy Thomas McKee Richard Ricciardi REPRESENTATION For Claimant Alexander Centro and International Brokers, Inc. ("Claimants") appeared Jacob H. Zamansky, Esq. a sole practitioner with offices located in New York, New York. For Respondents

TOCT. 10. 1998?. 1Z: 40PM 404NRSD REGULflTION PL SMITH. HOWARD . j 1 w* v I * w * I • — — . - -— * T **^ • ^- • • • ^m !• • • ^* — - - — — • FL NO. 292 NASD REGULATION, INC. AWARD NASD Regulation^ Inc., Offic« of Dispute In the Matter of it* Arbitration Between Robert E. Dicltins , 99-0047B Kidder, Pe*body Jt Co., Claimam: torn. For RespoadBAi: Peter C. JB Co,, Ins. , C.P.A. of Wefi

May-21-02 IQ:19am From-NASD DISPUTE RESOLUTION 202-728-6952 T-437 P.002/005 F-927 AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Jacqueline & Ralph Grosso Case Number and 98-00477 Name of Respondents David Lemer Associates William Scheer REPRESENTATION OF PARTIES Jacqueline & Ralph Grosso ("Claimants") appeared pro se. For David Lemer Associates ("DLA") appeared Ruthann G. Niosi, Esq., a sole p

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Comprehensive Capital Corporation vs. Case No. 98-00471 Name of Respondents Brian F. Schantz Edward P. Flynn vs. Name of Third-party Respondents Steven Kevorkian Olga Scoppa Deborah Kevorkian Melanie Shadier REPRESENTATION For Claimant Comprehensive Capital Corporation ("Claimant") and Third-Party Respondents Steven Kevorkian ("K

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sturdivant & Co., Inc. vs. Case No. 98-00470 Name of Respondent & Counter/Third Party-Claimant Bufus Outlaw, Jr. vs. Name of Third-Party Respondents Albert A. Sturdivant Harvey R, deKrafft REPRESENTATION OF PARTIES Claimant, Sturdivant & Co., Inc. ("Sturdivant & Co."), and Third-Party Respondents Albert A. Sturdivant ("Sturdivant") and H