Award NASD Dispute Resolation, Inc. In the Matter of fhe Aibitration Between Namp of Clflimmits Angelo Karakasis FFP QtoMp, Inc. Nicholas G. Zoubroulis Theodore Zoubroulis DiMedio KirchhofiF & Company, Inc. Thomas H. King, Sr. Hearing, Site: Philadelphia, PA Case Nos. 01-00645 01-00646 01-00647 01-00648 Claimants, Angelo Karakasis ("Karakasis"), FFP Grovep, Inc. ("FFP"), Nicholas G. Zoubroulis, and Theodore Zoubroulis, here

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Merrill Lynch Pierce Fenner & Smith, Inc. and 02-00986 Salomon Smith Barney, Inc. Shane G. Springman Consolidated with David G. Goulooze and Ryan D. Hekman and 02-01073 Troy, Michigan Salomon Smith Barney, Inc., and Shane G. Springman REPRESENTATION OF PARTIES Merrill Lynch Pierce Fenner & Smith, Inc. ("MLPFS") was represented by Paul G. Kirk, Esq., Rubin &

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 Deixman 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

Award NASD Dispute Resolution In the Matter of the Consolidated Cases Among: Orlandes R. Shuemake, Claimant v. Morgan Stanley DW Inc., David J. Dunn and Michael J. Roane, Jr., Respondents (01-03933) Mario D. Guillermo, individually and as Trustee of the Guillermo Family Trust, Claimant v. Morgan Stanley DW Inc., David J. Dunn and Michael J. Roane, Jr., Respondents (01-04090) Reginald A. Rashid and Behnda Rashid, Claimants v. Morgan Stanley DW Inc., David J. D

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 98-00090 Northeast Securities, Inc., (Claimant) vs. Quest Capital Strategies, Inc. David Chen Yu, Richard Skinner, Joyce Lubbers, and Carolyne Yu, (Respondents) consolidated with: Case Number: 01-02217 Carolyne Yu, (Claimant) vs. Northeast Securities, Inc., (Respondent) consolidated with: Case Number: 01-02275 David Chen Yu, (Claimant) vs. Northeast Securities

NASD Dispute Resolution, Inc. Arbitration No. 00-02681 Award Page 1 Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Madeline M. Thomas & Jerome Zenga, Trustees for Morgan H. and Aimee K. Thomas Foundation Case No. 00-02681 (Master Case) A.G. Edwards & Sons, Inc. Brian K. McRory In the Matter of the Arbitration Between David E. Sigloch A.G. Edwards & Sons, Inc. Brian K. McRory Hparino Siifp- Philadel

NOTICE: An award was rendered in this case, but is not available.

o o N.A.S.O. iffARD NATICXIBL ASSQCQ^GN OF SidCUHlTlBS DEAZ£SS m tba Matter o£ tbe Adsltratlcaa BetMem Darotta/ C. SntBilwr vs. 91-01007 Mtoa of Pfimanritntis) Daxyl Patxla (Dnrall Fetxle) Jans Doe Petrle FOOT Clalanfct Hans E. BMI., Seattle, NauBhlngtoa For SeepaodBotss Frmasia L. Vtai Suaen, A., Bnq., Millec, itaah, Nleoer, & Cwrliien,- Seattle, Statamt of ClaiB flledi ilpEll 2, 1S91. dainant's Sutamlaaion AgreoBMat elgn

Award NASD Dispute Resolution, loc. In the Matter of the Artntration Between Janney Montgomery Scott, Inc. MnmP nf R«pf>nrii>nt Steven M Glass Hearing Site: PHladdphia, Pa Case No. 00-02906 Master Case Consolidated with Case No. 00-04989 In the Matter of tlie Arbitration Between NRTHP offlnimanr Steven M Qass Case No. 00-04989 Subordinate Case Consolidated witli Case No. 00-02906 NsTTtft nf Rr.spnnf1mTs Janney Mocitgomety Sc

JUN. 1.1999 3:13PM NO,969 P.6 AWARD i NASD Regulation, Inc. In the Matter of the Arbitration Between. Names of Claimants • Hany M. Nugent Mary L, Nugent 98-00529 Names of Respondent? The Harriman Group Incorporated Glenn Beyer Shane Ferras Brian Douglas Scanlon Mark Arthur Hanna REPRESENTATION For Claimants: Stephen D, Spivey, Esq., Law Offices of Stephen D. Spivey, OcaJa, Florida. Respondents The Haniman Group Incorp