N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00743 Michael A. Cooper, claimant vs. Investors Associates, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Paris, KY. Respondent did not appear. 'DATE FILED: 2/24/98 CASE SUMMARY: Claimant alleged unauthorized transactions, churning, deceit and dishonesty. Claim Data Award Data Claim: $8,888.00 Award: $8,888.00 Interest: $.00 Interest: 8% per annum from 7/15/97 to date of payment.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Stephen H. Tucker and Pamela Tucker JTWROS NASD Arbitration No. 95-05052 Name of Respondent(s) Buttonwood Securities, Inc. Edward A. McKay, Jr. Edward Harrold Vertsman Sal Waisbrut REPRESENTATION For Claimants: G. Alexander Novak, Esq., Novak & Juhase, New York, New York For Respondent Edward Harrold

AWARD NASD Regulation, Inc. CASE: 98-00741 George J. Litherland and Marilyn P. Litherland, claimants vs. Meyers Pollock and Robbins, Inc., James Mayer, Anthony Imbo and Susan Diamond, respondents. ATTORNEYS: Claimants appeared Pro Se. - Jasper, IN. Respondents Meyers Pollock Robins, Inc., and Anthony Imbo did not appear. Respondent James Mayer appeared Pro Se. - Bayshore, NY. Respondent Susan Diamond appeared Pro Se. - Westbury, NY. DATE FILED

.MRY.25.1999 ll'13fiM NO.010 p.2B AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Odessa Hancock, IRA 98-00738 Names of Respondents Janet Marie Shaipe Argent Securities, Inc. Sunpoint Securities, Inc. REPRESENTATION For Claimant: Frank A. Lightmas, Jr. f Esq. of the law firm of Lightmas & Delk, Atlanta, Georgia. For Respondent Simpoint Securities, Inc. ("Sunpoint"): John W. Bowdic

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Samuel Lightbody, ("Claimant") vs. Guilford Securities, Inc. and Bruce Keller, ("Respondents") Case Number: 98-00737 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Samuel Lightbody, hereinafter referred to as "Claimant": Gary S. Mayerson, Esq., Graubard Mollen & Miller, New York, NY. Respondents, Guilford Securities, Inc. ("Guilford") and Bruce Keller ("Keller"), herei

NASD REGULATION/INC. , AWARD In the Matter of the Arbitration Between Name of Claimant Medah Trading Corp. vs. Case No. 98-00735 Names of Respondents Manor Securities Corporation Solomon I. Mayer REPRESENTATION For Claimant Medah Trading Corp. ("Claimant") appeared Victoria A. Kummer, Esq., of the firm Baer, Marks & Upham, LLP, located in New York, New York. For Respondents Manor Securities Corporation ("Manor") and Solomon I. Mayer

REVISED N.A.S.D. AWARD 1* A. S. D. REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen J. Puerini Case No. vs. 95-03863 Name nf Respondents Janney Montgomery Scott Inc. Schneider Securities Inc. Vincent DiGiulio Josephthal Lyon & Ross, Inc. REPRESENTATION For Claimant, Stephen J. Puermi ("Claimant"), William A. Jacobson, Esq., from the law firm of Kaplan & Jacobson, Inc., located in Providence, Rhode

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Frederick Weinsteln 95-04386 Name of Respondents Legg Mason Wood Walker, Inc Howard Mlrvis Jonathan Pearl REPRESENTATION Claimant Frederick Weinsteln ("Claimant") was represented by David H. Zimmer, Esq., Potomac, MD. Respondents Legg Mason Wood Walker, Inc. ("Legg Mason"), Howard Mlrvis ("Mirvis") and Jonathan Pearl

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namp of ClaijTiantfs\ Karen Haines Gabiner, Robert & Nancy C. Flaherty, and Flaherty-Haines, Inc. Bntployee Profit Sharing Plan & Trust 89-03128 89-03133 89-03137 of Restxandentrs^ Shearson Lehman Hutton, Inc. and David Asplund CASE *aiMMCr In claims filed with the National Association of Securities Dealers, Inc. ("NASD") on or ^k

N A.S T>. AWARD NATIONAL ASSOCIATION OF SECURITIES HFAI J.RS. INC. In the maner of she Arbitration Between Name of Claimants SKM Properties. Inc. and Bay Area Realty Defined Benefit and Trust NASD Arbitration No.94-03107 and 94-04091 (Consolidated cases) Name of Respondents Shearson Lehman Hutton, Inc. and John Davenport REPRESENTATinN For Claimants: Linda Mallette, Esq., Mallette & Libonati, San Mateo, California For Responden