Award NASD Dispute Resolution In the Matter of the Consolidated Cases Among: Nordahl Development Corp., Inc. and Steven Robert Olson, Claimants v. Southwest Securities. Inc. andMydiscountbroker.com, Respondents (01-06519) Nordahl Development Corp., Inc. and Steven Robert Olson, Claimants v. Salomon Smith Bamey Inc. and American Express Financial Direct, Respondents (01-05244) Consolidated Case Number: 01-06519 Hearing Site^Pbrtlahd^ Oregon REPRESENTATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Sigma Financial Corporation Name of Respondent Zachary H. Burton, III Case Number: 01-05554 (Consolidated with 01-05660) Hearing Site: Boca Raton, Florida In the Matter of the Arbitration Between: Name of Claimant Zachary H. Burton, III Names of Respondents American Investment Services, Inc., Sigma Financial Corporation, Stuart Chamberl

r- Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf tht^ riaimants Pasp Numhsr- 01-02082 James A. and Betty L. Denman, Trustees of Master Case the Denman Family Trust James A. Denman, IRA Betty L. Denman, IRA William A. and Maiy Anne Denman, Trustees of the William and Mary Anne Denman Trust B. Louise DiDay Names of the Respondents Hearing SitR! Pittsburgh, PA lAC Securities, Inc. John E. Prokop , i

NASD REGULATION, INC. MODIFIED AWARD In the Matter of the Arbitration Between Name of CUimant Drizos Investments. Inc. vs Case No. 95-01279 Names of ]ftesnondentfi J.F. Hartfield & Co., Inc. Titus & Donnelly, Inc. vs. Names of Third-Partv Resnondents Barr Brothers & Co., Inc. Bear Steams & Co., Inc. Enmict 8L Co., Inc. J.J. Kenny & Co., Inc. Schroder Wertheim & Co.. Inc. Texas Capital Securities, Inc. REPRESENTATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Janet G. Katz, (Claimant) vs. PaineWebber, Inc., Mark Serby, Rick Capozzi, Barry Buchsbaum, Martin Hoekstra, and John Ebanietti, (Respondents) Case Number: 98-00641 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Janet G. Katz, hereinafter referred to as "Claimant": Judith Vladeck, Esq., Vladeck, Waldman, Elias & Engelhard, PC, New York, NY. Respondents, PaineWebber

AWARD NATIONAL ASSOCIATION OF SECURITIES DEAIiERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimaht J.W. Charles Securities, Inc. Names of Respondents Robert D. Keyser, Jr. and John T. KeyserT^ John Hughes, Howard Feinmel, Paul Winkle, Chris Zafuoff, Al Poliak, Michael Winnick, Frank Vecchio 95-00814; 95-01118; 95-01217 ; 95-01264; 95-01295; 95-01533 ; 95-01534 ,-95-04973 RFPRFSFNTATTON * For Claimant J

r- Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names nf fhe. riaimants PasP Numhsr- 01-02082 James A. and Betty L. Denman, Trustees of Master Case the Denman Family Trust James A. Denman, IRA Betty L. Denman, IRA William A. and Maiy Anne Denman, Trustees of the William and Mary Anne Denman Trust B. Louise DiDay Names of the Respondents Hearing SitR! Pittsburgh, PA lAC Securities, Inc. John E. Prokop , i

N.A.S.D. ANABD NATIOIAL ASSCXUATICN OF SUUUklTlBS CShUBRS Ijg the Matter of tbe AzbitratioD BetnecE ^D^o^aaimmt(s^ Capital luveaLiuents & Finance Inc. 89-02218 Nana of Reenrnlpnt (s) Barry Papa Name of Claimant Daniel Gnnfcacber, as attorney in fact for Jisnine, Sylvan and Jean-Jaoque QruBbacber Barzy Papa 89-02218 (ooisolidated with 89-02238) For daimantt Gq>ltal Tuiiwifi mi^ff & Flsauoe ^ic. and Daniel QcunisaGhetr, as at

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmanr.f Henry Halbing Salzarulo Ira Rollover John w. Kenney, M.D. William A. Fagan, Jr. larry B. Lehr Bruce McGlll, Eric R. Spielhagen National Associstion of Securities Dealers. Inc. -Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 Name of R ntrs\ Rauscher Pierce Refsn

Arbitration N.A.S.D. AWARD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clajmanr.f Henry Halbing Salzarulo Ira Rollover John w. Kenney, M.D. William A. Fagan, Jr. larry B. Lehr Bruce McGlll, Eric R. Spielhagen National Associstion of Securities Dealers. Inc. -Suite 1680 Three First National Plaza Chicago, IL 60602 (312) 899-4440 Name of R ntrs\ Rauscher Pierce Refsn