Award NASD Dispute Resolution hi the Matter of the Arbifration Between: NamRs nfthf! Claimant.'; James J, KarUieun Rutherford F, and Connie Penrod H. Landon and Peggy J. Henry Joseph and Sarah Leach Paul WilUam Cowan Frank W. Burket Rick Wright Brian Stahl Donald Holderbaum Namfis nf the RespnndRnts MurJen Financial, Inc. Richard Meyerhoff Casp.Nnmher- 02-03367 (Master Case) ConsoUdated with Subordinate Cases 02-033

AWARD Regulation, Inc. CASE: 98 - 00526 Richard A. Benedikt, claimant vs. Robin Rothborth Breitner, respondent. ATTORNEYS: Claimant appeared Pro Se. - San Antonio,. TX. For Respondent appeared William M. Moran, Esq. New York, NY. DATE FILED: 2/10/98 CASE SUMMARY: Claimant alleged unsuitability and failure to execute. Claim Data Award Data Claim: $10,000.00 • Award: $500.00 Atty Fees: $.00 Atty Fees: $.00 Filing Fees: $.00 Filing Fees: $7

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: "NTames nf the Claimants James J. Karlheim Rutherford F. and Connie Penrod H. Landon and Peggy J. Henry Joseph and Sarah Leach Paul Wilham Cowan Frank W. Burket Rick Wright Brian Stahl Donald Holderbaum Names nf the l^espnndfints MurJen Financial, hic. Richard Meyerhoff Caspi Nnmher 02-03367 (Master Case) ConsoUdated with Subordinate Cases 02-03

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: Names nf the Plaimants James J. Karlheim Rutherford F, and Connie Penrod H. Landon and Peggy J. Henry Joseph and Sarah Leach Paul Wilham Cowan Frank W. Burket Rick Wright Brian Stahl Donald Holderbaum Names nf the Respnndents MurJen Financial, hic. Richard Meyerhoff" CaseNiimher: 02-03367 (Master Case) Consohdated with Subordinate Cases 02-03368

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: NarriR nf the. Plaimants Patricia A, Dyer Barbara C, Massey Estate of Edgar S. Massey PasP Nnmhor; 02-03592 (Master Case) Namp nf the R Rspnndfint hiterSecurities, Inc. Hearing Site: Baltimore, Maryland Name nfThirrl-Party RespnnHent Robert Bruce Sando hi the Matter of the Arbitration Between: Name nf the Plaimants John D, and Martha C. Coffinan Name nf

Award NASD Dispute Resolution hi the Matter of the Arbitration Between: NarriR nf the. Plaimants Patricia A. Dyer Barbara C. Massey Estate of Edgar S. Massey PasP Niimhor! 02-03592 (Master Case) Namp nf the R Rspnndfint hiterSecurities, Inc. Hearing Site: Baltimore, Maryland Name nfThirrl-Party RespnnHent Robert Bruce Sando hi the Matter of the Arbitration Between: Name nf the Plaimants John D. and Martha C. Coffinan Name n

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Plaimants Patricia A. Dyer Barbara C. Massey Estate of Edgar S. Massey Case Niimhor! 02-03592 (Master Case) Name nf the R espnndent InterSecurities, Inc. Hearing SitR: Baltimore, Maryland Name nf Thirrl-Party RespnnHent Robert Bruce Sando In the Matter of the Arbitration Between: Name nf the Plaimants John D. and Martha C. Coffinan Name nf t

N.A.S.D. AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS In the Matter of the Arbitration Between ^ Naipe of Claimants AJtJert Musca/TTEE and Sandra Ward 92-01500 Cowen & Company Stephen J. Glantz REPRESENTATION For Claimants Albert Musca/TTEE and Sandra Ward ("Clairaants"): Marie A. Phillips, Esq., of Benesch Friedlaiider et al. For Respondent Cowen & Company ("Cowen'7: Daniel J. Donovan, Esq. of Cowen. Respondent Stephen J. Glantz ("Glan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs^ Walter J. Haggerty 94-02801 NameofRespondentfs^ Nations Securities David W. Sisemore CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 19, 1994, Claimant Walter J. Haggerty, who appeared Pro Se, alleged that Respondents David W. Sisemore ("Sisemore") and Nations Securities ("NS

NASD REGULATION, INC. AWARD In the matter of the arbitration between Names of Claimants PATRICK MCLAUGHLIN- ANTHONY ^jy^lARRA and MARK PERROTTI. and Case No. 97-02566 Names of Respondents FIRST SECURITY INVESTMENTS. INC. and DONALD O'SHEA. REPRESENTATION OF PARTIES Claimants, Patrick McLaughlin, Anthony LaMarra and Mark Perrotti were represented by Mark Perrotti of Houston Texas. Respondents, First Security Investments, Inc. and Donald