AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the maiter of the Arbitration Between Name of Claimant Richard E. Riley v. Arbitration No. 96-03564 Name of Respondents David Weiss, John E. Klingenmeier. Roger H. Chlowitz. Peter L. Singer, Michael A. Jones For Claimant: REPRESENTATION Ricki C. Ring, Esq. Law Offices of Ricki C. Los Angeles, California For Respondent John E. Klingenmeier: For Respondent Roger H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mathew J. Letich and Ruth Witter Successor Trustee and Attorney in Fact Under Durable Power of Attorney for the Mathew J. Letich Family Trust 96-03562 Name of Respondents Prudential Securities, Inc. Joyce A. Shera REPRESENTATION For Claimants: John P. Graves, Jr., Esq. of the law offices of Graves & Palmer Chartered an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05160 Fidelity Brokerage Services, Inc., Claimant vs. David Mitchell, Respondent. ATTORNEYS: For Claimant, Fidelity Brokerage Services, Inc. ("Claimant") appeared Laurence K. Richmond, Esq. of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA, Respondent, David Mitchell, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUMMARY

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert and Lorraine Liere, (Claimants) vs. Milestone Financial Services, Inc. and Edward Cahill, (Respondents) Case Number: 00-00523 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert and Lorraine Liere, hereinafter collectively referred to as "Claimants": Robert J. Cava, Esq., Law Offices of Robert J. Cava, P.C., West Babylon, NY. Respondents, Mi

Arbitration & Mediation National Association of Securities Dealers,Inc. * NASD Financial Center * 33 Whitehall Street * New York.NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lester L. Stone and Edward M. Stone 96-03559 Name of Respondent E*Trade Securiti

SECOND AMENDED AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Baraban Securities Incorporated v. Arbitration No. 96-03555 Name of Respondents Western International Securities, Jon Hogen, Scott Werner, Hans Aebischer, Andrew Lais, Martha Thompson, Vincent Anthony Free, Donald Michael Bizub, Curtis Alan Roberts, and Charles Alexander Wright v. Name of Third Party Respondents Joseph Gerace,

AMENDED AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Baraban Securities Incorporated v. - . Arbitration No. 96-03555 Name of Respondents Western International Securities, Jon Hogen, Scott Werner, Hans Aebischer, Andrew Lais, Martha Thompson, Vincent Anthony Free, Donald Michael Bizub, Curtis Alan Roberts, and Charles Alexander Wright v. Name of Third Parry Res

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Baraban Securities Incorporated v- Arbitration No. 96-03555 Name of Respondents Western International Securities, Jon Hogen, Scott Werner, Hans Aebischer, Andrew Lais T Martha Thompson, Vincent Anthony Free, Donald Michael Bizub, Curtis Alan Roberts, and Charles Alexander Wright v. Name of Third Party Respondent

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Balbir S. Kamal Claimant NASD Regulation, Inc. v. No. 96-03553 Nancy Sun Respondents REPRESENTATION OF PARTIES Balbir Kamal ("Claimant") represented himself pro se. Nancy Sun ("Sun") represented herself pro se. Jane Ying ("Ying") represented herself pro se. CASE INFORMATION Claimant's Statement of Claim was filed on or about August

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steve Tirrell 96-03547 Name of Respondents Damiano Coraci Global Equities Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 16, 1996, claimant Steve Tirrell ("claimant"), who appeared Pro Se, alleged that in July 1996, Richard Sharkey ("Sharkey") of respondent Glob