N.A.S.D. REGULATION, INC. AWARD CASE: 98-01814 Robert G. Watts and Mary Jane Watts, claimant vs. Continental Broker Dealer Corp, respondent. ATTORNEYS: Claimant Robert G. Watts appeared Pro Se. - Northfield, HI. For respondent appeared Patrick V. Delorio, Esq., - Purchase, NY. DATE FILED: 5/18/98 CASE SUMMARY: Claimant alleged respondent gave claimant false and misinformation concerning stock progress. Claim Data Claim: $10,000,00 Other

AWARD NASD Regulation, Inc. CASE: 98-01813 Badrul Hassan and Tahira Tarrannum, claimants vs. Joseph Lacertosa, Fletcher & Faraday, Inc., and TYM Securities, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se. - Minneapolis, MN. Respondent Joseph Lacertosa was removed as a party. Respondent Fletcher & Faraday, Inc. did not appeared. For respondent TYM Securities, Inc. appeared Billy Thedford - Dallas, TX. DATE FILED: 5/18/98 CASE SUMMARY

02/11/2004 13;35 FAX NASD H002/010 Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimants/Counter-Respondent Case Number: 00-03052 PaineWebber Inc. n/k/a UBS Financial Services, Inc. Name of the Respondent/Counter-CJaimant Hearing Site: Chicago, Illinois Adel Zeidan and Name of Third-Partv Claimant Adel Zeidan Name of Third-Party Respondents Steven Setkamp Dean Niewolny HughO'Hara REPRES

AWARD NASD Regulation, Inc. CASE: 98-01812 Ivan Baric, claimant vs. Seibt Financial Services, respondent. ATTORNEYS: Claimant Ivan Baric appeared Pro Se., Las Vegas, NV Respondent Seibt Financial Services appeared, through the Manager/Stock Trading Dept., Gordon Doughty, Las Vegas, ?*V DATE FILED: 05/18/1998 CASE SUMMARY: Claimant alleged that he ordered the respondent to purchase 800 shares of Broadcom Corp., (BRCM) an initial public offering,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thomas Michael Baldwin NASD Case No. 98-01806 Hearing Location: Washington, D.C. Name of Respondents Chris Miano Roland Greenspan Robert Mitchell REPRESENTATION OF PARTIES Claimant Thomas Michael Baldwin ("Claimant") appeared pro se. Respondents Chris Miano, Roland Greenspan, and Robert Mitchell ("Respondents") did not appear. CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert W. Nelson and Mark M. Hart, (Claimants) vs. M.S. Farrell & Co.. Inc., Guy Clemente, Martin F. Schacker and Thomas A. Gallo, (Respondents). Case Number 98-01804 Hearing Site: Oklahoma City, Oklahoma REPRESENTATION OF PARTIES Claimants, Robert W. Nelson and Mark M. Hart, hereinafter collectively referred to as "Claimants": Raymond Patton, Esq., Conner & Winters, Tulsa, Oklahoma.

"MAY.25.1999 H:09flM NO, 010 P. 13 AWARD NASD Regulation, Inc. In the Matter of die Arbitration Between CEBC Oppenheimer Corp, Name a of Respondent Jay Kumar Chimis 98-01798 REPRESENTATION For Claimant CISC Oppenheimer Corp. ("CEBC"); Terry R. Weiss, Esq. of file law firm of Long Aldridge & Norman, LLP, Atlanta, Georgia. Pot Respondent Jay Kumar Chimis ("Chimis"): Gerald B. Kline, Esq. of the law firm of Sims, Moss, Kline

STIPULATED AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of Claimants) A.G. Edwards & Sons, Inc. v. Arbitration No. 98-01797 Name of Respondent^) Jeffrey A. Knepp REPRESENTATION For Claimant: Norman S. Buckvar, Esq. A. G. Edwards & Sons, Inc. St. Louis, Missouri For Respondent: R. King Prothro, Jr., Esq. San Jose, California CASE INFORMATION Statement of Claim filed: May 18, 1998 Claimant's

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Blair A. and Cynthia E. Boyce, JTWROS v. Name of Respondents Meridian Capital Group, Inc., William H. Seals, and Bradley C. Weddon Arbitration No. 98-01795 For Claimants: For Respondents: REPRESENTATION Ciara McAlinden, Esq. Hess-Verdon & Associates Newport Beach, California Jeffery S. Kob, Esq. Miller Milove & Kob P.C. San

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark Zakowski and Lori Zakowski, Claimants v. Paul Wasserman and Walsh Manning Securities, Respondents Case Number: 98-01794 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants; James L. Sanders, Esq. McDermott, Will & Emery Los Angeles, California For Respondent Paul Wasserman: Paul Wasserman In Pro Per New York. New York For Resp