Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alan M. Poise Trust, Alan Poise, Ruth Poise, Julie Poise, and Alan M. Poise Profit Sharing Plan, (Claimants) v. D.H. Blair & Company, Harrington Capital Group, L.P., and Richard A. Gaydos, II, (Respondents) Case Number: 99-03671 consolidated with Robert J. Ficek on behalf of Robert J. Ficek IRA, Jean Ficek, and Susan Ficek, (Claimants) v. D.H. Blair & Company, Barrington Cap

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Saivatore Trovato, (Claimant) vs. Kern, Suslow Securities, Inc., David J. Levenson, Fleet Securities, Inc., and Arthur Kem, (Respondents) Case Number: 99-03708 (Consolidated w/99-04l88) Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Saivatore Trovato, hereinafter referred to as "Claimant": Ira Lee Sorkin, Esq., Squadron. Ellenoff, Plesent & Sheinfeld, LLP,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Knight Securities, Inc. and Wm. V. Frankel & Co., Inc., (Claimants) vs. CM. Blair, W.O. Foster & Co., Inc., Charles M. Blair, Michael Mclntyre, Correspondent Services Corporation, EBI Securities Corp., and Sharpe Capital, Inc., (Respondents) vs. Kenneth Pasternak, (Third- Party Respondent) Case Number: 98-04647 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claima

NOV. £.1999 3:12PI1 NASD BOCft N0.91B P.G AWARD NASD Regulation, Inc. In tbe Matter of the Arbittation Qetwe^ KameofClaimmt John Wesley Key Names of Respondents Olde Discount Corporadoa TedHarter 96-05397 Master Fije CONSOLIDATED WTTH In the Matter of ttw Arbitration Betwe^ Jc^ Wesley Key Names of Reapmidtfiir|at Olde Discount Corporation Edward B. Harter John P. Donovan 98-01100 REPRESENTAITON For C

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Dale R. Terwedo Claimant V. Arbitration No. 97-05698/97-057 19 Lutheran Brotherhood Securities Corporation Respondent Lutheran Brotherhood Securities Corporation Claimant V. Dale R. Terwedo Respondent REPRESENTATION For Dale R. Terwedo: ScottD. Stechman,Esq., Smith Campbell & Paduano,New York, New York. For Lutheran Brotherhoo

AWARD NASD Regujatioiy IJIP^ 1J> the Matter of the Arbitration Between Name of Claimant Mercantile Investment Services, Inc and >famc of Respondents. Oregory Bennett, Dean Witter Reynolds, Inc consolidntcd with Name of Claimants Dean Witter Reynolds, Inc., Gregory S. Bennett, and Traci Van Buren and Name of Respondent Mercantile Livestment Services, Inc No. 07-05699 No. 97-05700 Mercantile Investment Services

NASD Regulation, Inc. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Leonard Silesky and 97-04729 (cons with 97-04730 and 97-05138) Name of Claimant William Cohn and 97-04730 (cons with 97-04729 and 97-05138) Name of Claimant Kathi Marks and 97-05138 (cons with 97-04730 and 97-04730) Name of Respondents Summit Investment Corporation, n/k/a Dougherty Summit

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mercantile Investment services, Inc. and 97-04941 Name of Respondent Sheila J. Mangan, and Stifel, Nicolaus & co.. Inc. Consolidated with Name of Claimants Sheila J. Mangan, and Stifel, Nicolaus & co.. Inc. and 97-04942 Name of Respondent Mercantile Investment services. Inc. REPRESENTATION OF PARTIES Mercan

CONSOLIDATED CASE N.A.S.D. AWARD NATI ONAL ASSOCI ATI ON OF SECURITIES DEALERS In the Matter of the Aibitration Between Wilfit L. Crews 94-04044 D oy I e E. El I i ott & Betty J. EUiott 94-04221 LoisL. Major 94-04222 Willis L. Wright & Dorothy E. Wright 94-04223 Names of Respondents: Merle B. Grss Angel Munoz JarrES Miranti, Sr. Third Party Respondents: US clearing Securities Corp. Kohn, Herbert & Associates S^sphenJ^dtn Ch

CONSOLIDATED CASE N.A.S.D. AWARD NATI ONAL ASSOCI ATI ON OF SECURITIES DEALERS In the Matter of the Aibitration Between Wilfit L. Crews 94-04044 D oy 18 E. El I i ott & Betty J. EUiott 94-04221 LoisL. Major 94-04222 Willis L. Wright & Dorothy E. Wright 94-04223 Names of Respondents: Merle B. Grss Angel Munoz JarrES Miranti, Sr. Third Party Respondents: US clearing Securities Corp. Kohn, Herbert & Associates Chester Herbert