NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03312 Michael J. Falise, Claimant vs. Leigh Baldwin & Company LLC, Respondent. ATTORNEYS: Claimant appeared Pro Se, Oswego, NY. Respondent appeared through its Compliance Officer, Sharon R. Halligan, Cazenovia, NY. DATE FILED: August 3, 2000 CASE SUMMARY: Claimant alleged that Respondent sold 10 shares of Perm Traffic Co. stock without authorization and without prior notification.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00469 James Gallo, claimant vs. State Street Capital Markets Corp., and Anthony Puccio, respondents. ATTORNEYS: Claimant appeared Pro Se., Brooklyn, New York. Respondent Anthony R. Puccio ("Puccio") appeared Pro Se., New York, New York. Respondent State Street Capital Markets Corp ("State Street") did not respond to the Statement of Claim. DATE FILED: 02/0

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mark Orehowsky Case No. 99-00468 Name of Respondent Waterhouse Securities, Inc. REPRESENTATION OF PARTIES Claimant Mark Orehowsky ("Claimant"): Albert Schiessinger, Esq., Philadelphia, Pennsylvania. Respondent Waterhouse Securities, Inc. ("Respondent"): Margaret Manolakis, Esq., Stradley Ronon Stevens & Young, LLP, Philadelphia, Pennsylvania. CASE INFOR

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph C. Loiacono, Jr. and Marie Grace Loiacono, (Claimants) vs. Olde Discount Corporation, Greg Hall, and Peter Carmasino, (Respondents) Case Number: 99-00461 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Joseph C. Loiacono, Jr. ("J. Loiacono") and Marie Grace Loiacono ("M. Loiacono"), hereinafter collectively referred to as "Claimants": George V. Cornell, II

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alex Ali, Claimant v. Patrick James Wilde, n, Todd Bauman. Bradford Barker, Aragon Financial Services, Inc., Respondents Aragon Financial Services, Inc., Cross-Claimant v. Patrick James Wilde, n and Todd Charles Bauman, Cross-Respondents Aragon Financial Services, Inc., Third-Party Claimant v. RFCA Financial Services, Inc. iind Robert Tretiak, Third-Party Respondents Case

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Donna V. Gross, (Claimant) vs. Griffin Financial Services n/k/a Washington Mutual Financial Services, (Respondent). Case Number: 99-000456 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Donna Gross ("Gross"), hereinafter referred to as "Claimant": Margaret A. Poissant, Esq., Margaret A. Poissant, P.C., Houston, Texas and Jennifer Melby, Esq., Houston, Texas.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cynthia L. Green, Claimant v. Rupande Dhiren Shethnashrimankar (a/k/a Rupa Shethna), Cery B. Perle, James Clifford Page, HI, Patricia Georgia French, Joseph Gaetano Gerace, Jon G. Aubry, Waldron & Co., Inc., Aubrey Perle Holdings Inc., and Centura Investments, Respondents Case Number: 99-00455 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Cyn

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-00449 Robert F. Newton, claimant vs. J.C. Bradford & Co., respondent. ATTORNEYS: Claimants, Robert F. Newton, appeared Pro Se., Raleigh, NC. Respondent appeared through its Assistant General Counsel, Claude O. Ramer II, Esq., Nashville, TN. DATE FILED: 02/01/99 CASE SUMMARY: Claimant alleged respondent was negligent and mishandled claimant's account. I

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lawrence PJ. Bonaguidi (Claimant) v. Paine Webber, Incorporated and David Nagler (Respondents) Case Number: 99-00446 Hearing Site: Santa Fe, New Mexico REPRESENTATION OF PARTIES Lawrence PJ. Bonaguidi ("Bonaguidi"): Delmer C. Gowing, III, Esq., Delray Beach, Florida Respondents PaineWebber, Incorporated ("PWT) and David Nagler ("Nagler"), hereinafter collectively referred to a

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECIJPTTTFS nF.AT.KRS REGULATION. INC. CASE: 99-00443 Scott and Celeste Daiagi, claimants vs. Discover Brokerage Direct, respondent. ATTORNEYS: Claimants Scott and Celeste Daiagi ("Claimants") appeared Pro Se., Oakland Park, Florida. For Respondent Discover Brokerage Direct ("Respondent"), Judith M. Rosenberg, Esq., Discover Brokerage Direct, San Francisco, California. DATE FILED: 02/01/1999 CASE SUM