Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Millennium Securities Corp., (Claimant) vs. Vincent Chaz Ficci and Greg Mezzapesa, (Respondents) Case Number: 00-03706 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Millennium Securities Corp., hereinafter referred to as "Claimant", did not appear at the hearing in this matter. Previously represented by: Rick Cardillo, Esq., Millennium Securitites Co

N.A.S.D. Final Order NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Pete DeKalb, Sue Balch, Linda Busch and Alan DeKalb and 93-02474 Name of Respondent H.D. Vest Investment Securities, Inc. REPRESENTATION OF PARTIES Pete DeKalb, Sue Balch, Linda Busch and Alan DeKalb ("Claimants") were represented by Charles M. Hamilton, Esq. of the Law Offices of H. Dawson French, Dallas, Texas.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Patricia K. Wherley NASD Arbitration No. 93-02472 v. Name of Respondent Prudential Bache Securities, Inc. REPRESENTATION For Claimant: Steven M Green, Esq. - San Diego, California For Respondent: Richard W. Snairl, Esq. - Keesal Young & Logan - Long Beach, California CASE INFORMATION Statement of Claim filed: June

N.A.S.D. FINAL ORDER In the Matter of Arbitration Between Name of Claimant William E. Porter, m 93-02463 Name of Respondent Alex Brown & Sons, Incorporated REPRESENTATION For Claimant William E. Porter, HI ("Porter"): Jay H. Sandak, Esq. of Sandak Friedman Sommer, MacMillan & Lucas, located in Stamford, CT. For Respondent Alex Brown & Sons, Incorporated ("Alex Brown"): Daniel E. Mclntyre, Esq., Assistant General Counsel, Alex Brown, located

N.A.S.D. AWARD NCTONAI ASSOCIATION OF SF.CURTTTFS DFAT.F.RS. INC. In the matter or the Arbitration Between Name nf Claimant William M. L^/ette Name of Respondents Willie Jenkins Peter DeVries REPRESENTATION NASD Arbitration No.93-02461 For Claimant: Claimant appeared in pro per. For Respondents: Respondents appeared in pro per. CASE INFORMATION Statement of Claim filed: June 23, 1993 Claimant's Submission Agreement signed: Ju

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Rajiv and Sylvia Enand 93-02457 Name of Respondents Hibbard Brown & Co., Inc. Joseph Francis Chester CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1993, Claimants Rajiv and Sylvia Enand,-who appeared Pro Se, alleged that on the night of March 21, 1991, Respon

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lise B. Wilson 93-02453 Name of Respondent RAF Financial Corp. TASK SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1993, Claimant Lise B. Wilson, who appeared Pro Se, alleged that Respondent RAF Financial Corp. misled her into purchasing 5 City of LaCrose, WI, Pollution Control Re

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Inger Wilson 93-02451 Name of Respondent RAF Financial Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 22, 1993, Claimant Inger Wilson, who appeared Pro Se, alleged that Respondent RAF Financial Corporation, through its broker, P. Paxton, failed to provide information

N.A.S.D. AWARD NATIONAL ASSOCTATTON OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant Kathleen M. Boyer NASD Arbitration No 93-02436 Name of Respondent Gerald H. Klein REPRESENTATION For Claimant: In Pro Se For Respondent: In Pro se CASE INFORMATION Statement of Claim filed: June 22, 1993 Claimants' Submission Agreement signed: August 13, 1993 Joint Statement of Answer filed by Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03705 Stifel, Nicolaus & Company, Incorporated, claimant vs. Kelly T. Hickel and The Innovation Group, respondents. ATTORNEYS: For Claimant, Stifel, Nicolaus & Company, Incorporated, appeared John V. McDermott of the firm Holme, Roberts & Owen, LLP, Denver, CO. Respondents did not submit an answer to the Statement of Claim. DATE FILED: August 23, 2000 CASE SUMMARY: Claimant all