Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert L. Skegrud, Claimant vs. Duke & Company, Inc., Thomas J. Heaphy, Keith Connolly, Abraham M. Mirman and Victor M. Wang, Respondents Case Number: 99-00386 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimant: For Respondent Duke & Co., Inc. For Respondent Thomas J. Heaphy

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-00382 Barry A. Saunders, claimant vs. Charles Principato and R.D, White & Co., respondents. ATTORNEYS: Claimant appeared Pro Se., Hamden, CT. For Respondents appeared Marc D. Powers, Esq. of the firm Parker Duryee Rosoff & Haft, New York, NY. DATE FILED: January 27, 1999 CASE SUMMARY: Claimant alleged that respondents failed to execute a sell order on December 9, 1998. Claimant

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03290 Nicassio Family Trust, claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se through Michael Nicassio and Kathleen Nicassio, Trustees, Santa Barbara, CA. For Respondent appeared Gail A. Marshall-Smith, Esq., of the firm Bingham Dana, Boston, MA. DATE FILED: August 2, 2000 CASE SUMMARY: Claimant alleged respondent failed to sell 50

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Schwab & Company, Inc., Claimant v. R. Thomas Morrison, Respondent Case Number: 99-00379 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Richard A. Karoly, Esq. Charles Schwab & Co., Inc. San Francisco, California For Respondent: Did Not Appear CASE INFORMATION Statement of Claim filed: January 27, 1999 Claimant's Uniform Submissio

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Peggy Noble Case No. 99-00377 Name of Respondent Stuart, Coleman & Co., Inc. REPRESENTATION OF PARTIES For Claimant: Randall W. Henley, Esq., West Palm Beach, FL. For Respondent: Victor T, Siciiranza, Director of Compliance and Executive Viije President, Stuart, Coleman & Co., Inc., New York, NY. CASE INFORMATION Statement of Claim filed on or about

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roberto Engstrom, (Claimant) vs. Sutro & Co. Incorporated, and Matthew Aragon Brown, (Respondents). Case Number: 99-00371 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Roberto Engstrom hereinafter referred to as "Claimant": Brett A. Alcala, Esq., Birnbaum, Umeda & Alcala, Redwood City, California. Sutro & Co. Incorporated, and Matthew Aragon Brown hereinafter

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant American Express Financial Corporation vs. Case No. 99-00364 Name of Respondent William P. Yurkovac REPRESENTATION OF PARTIES Claimant, American Express Financial Corporation, hereinafter referred to as "Claimant(s)": Abraham C. Reich, Esq. and Joshua Horn, Esq., Fox, Rothschild, O'Brien & Frankel, LLP, Philadelphia, Pennsylvania Respondent W

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mashhoor Dawood Al-Asfoor Name of Respondent E*Trade Securities, Inc. Case No. 99-00363 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Mashhoor Dawood Al-Asfoor ("Ai-Asfoor"), hereinafter referred to as "Claimant" appeared pro se. For E*Trade Securities, Inc. ("E*Trade") hereinafter referred to as "Respondent": Mark T. Drooks, B

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Darrell Dobernecker and 99-00348 Des Moines, Iowa Name of Respondent U.S. Bancorp Investments, Inc. REPRESENTATION OF PARTIES Darrell Dobernecker ("Claimant") was represented by R. Jeffrey Lewis, Esq., Lewis, Webster, Johnson, Van Winkle & De Voider, L.L.P., Des Moines, Iowa. U.S. Bancorp Investments, Inc. ("Respondent") was represented by Dennis W. Joh

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Samuel J. Agosta, Jr., (Claimant) vs. ISG Capital Markets, LLC, (Respondent) vs. Greg LaBorde (Third Party Respondent) Case Number: 99-00347 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Samuel J. Agosta, Jr., hereinafter referred to as "Claimant": Kenneth A. Elan, Esq., New York, New York. Respondent ISG Capital Markets, LLC, hereinafter referred to as "ISG"