AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Timothy and Susan McGough and 99-01769 Scottsdale, Arizona Name of Respondents New England Securities Corporation Peter Russell Kolesar REPRESENTATION OF PARTIES Claimants Timothy and Susan McGough were represented by John J, Nicgorski, Esq. and Carolyn R. Matthews, Esq., Mohr, Hackett, Pederson, Blaktey & Randolph, P.C., 2800 North Central Avenue,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Young O. Kim, Claimant v. Waterhouse Securities, Inc., Allison B. Clago, and Calabasas Asset Holding Company, Inc. (fka Kennedy Cabot & Company), Respondents Case Number: 99-01765 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Young O, Kim: Young O. Kim ProSe Hermosa Beach, California For Respondent Calabasas Asset Holding Company, Inc.: Georg

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tsai-Hsien Lee and Chao-Tsu Lee, (Claimants) vs. Dominick & Dominick, Inc. and Peter Wu Fu Sung (Respondents). Case Number: 99-01763 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimants, Tsai-Hsien Lee and Chao-Tsu Lee, ("Claimants"): C. Kyle Pugh, Esq. And Dyke Bennett, Esq.: Attorneys at Law, Dallas, Texas. Respondents, Dominick & Dominick, Inc. and Peter Wu F

NASD Dispute Resolution Arbitration No. 99-01757 Award Page 1 of 7 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 99-01757 Derek J. Likowski Name of the Respondents Hearing Site: Cleveland, Ohio Olde Discount Corporation Greg Naypaver David lonno REPRESENTATION OF PARTIES Claimant, Derek J. Likowski, hereinafter referred to as "Claimant": Carter R. Dodge, Esq., Cleveland,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Abdul Ardekani, Claimant v. Sovereign Securities, Respondent and Related Counterclaim Case Number: 99-01756 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Paul W. Thomas, Esq. Paul W. Thomas & Associates Carlsbad, California For Respondent/Counterclaimant: Will S. Montgomery, Esq. Jenkens & Gilchrist Dallas, Texas CASE INFORMA

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Joely White Names of Respondents David W. Reimer Argent Securities, Inc. Louis Phillips Reames, Sr. Kenneth Edward Brill William Louis Mello Timothy Wayne McAfee Case No. 99^01752 REPRESENTATION OF PARTIES For Joely White hereinafter referred to as "Claimant": Robert A. Uhl, Esq. of Aidikoff & Beverly Hills, CA. For Re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: RL Securities, Inc., Claimant v. U.S. Clearing Corporation, Respondent Case Number: 99-01748 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant RL Securities, Inc.; Paul W. Thomas, Esq. Law Offices of Paul W. Thomas & Associates San Diego, California For Respondent U.S. Clearing Corporation: Stephen Young, Esq. Keesal, Young & Logan Long

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, EMC. CASE:00-03487 Ernest A. Schroer, Jr. and Patricia M. Schroer Living Trust, claimant vs. PaineWebber Inc. and Mark Chenian, respondents. ATTORNEYS: Claimant appeared Pro Se, Northridge, CA. For Respondents appeared Lisa K. Donahue, Esq., in-house counsel, Los Angeles, CA. DATE FILED: August 11, 2000 CASE SUMMARY: Claimant alleged that respondents failed to timely execute a sell order of

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Namfi nf the Claimant. Case Niimhftr 99-01747 Diane G. Devers Namgs nf the Respondents Hearing Site: Washington, D.C. Washington Investment Corporation Richard T, Barney Nature of the Dispute: Customer vs. Member and Associated Person. KFPRF.SPNTATTON OF PARTTRS Claimant, Diane G. Devers, hereinafter referred to as "Claimant", was represented by Paul N. Young, Securities

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Liberty Immigration Management Co., (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-01746 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Liberty Immigration Management Co. ("Liberty"), hereinafter referred to as "Claimant": Richard C. Herbst, President, Liberty Immigration Management Co., West Palm Beach, FL. Previously represented by: Pilar