NASD Arbitration No. 93-00363 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECtmiTIES DEALERS. INC In the matter of the Arbitration Between Edward M. Sorichetti Phyllis I. Sorichetti Steven L. Carter REPRESENTATION For Claimants: Edward M. Sorichetti and Phyllis I. Sorichetti, Sacramento, California For Respondent: Steven L. Carter, Fair Oaks, California CASE INFORMATION Statement of Claim filed: February 1, 1993 Claimants' Submission Ag

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04860 Kristen Gerami, Claimant vs. Jeffrey Holmes and Craig Morgan, Respondents. ATTORNEYS: For Claimant, Kristen Gerami ("Claimant") appeared Sabine Havlicek Respondents, Jeffrey Holmes and Craig Morgan, (collectively "Respondents") appeared through their in-house counsel, Michael Naccarato, Esq., St. Louis, MO. DATE FILED: August 19, 2002 CASE SUMMARY: Claimant alleged that Respondents

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiinant Radwan Ahmad 93-00646 Name of Respondent Ali M. Khan D National Association of Securities Dealers, Inc. All Rights Reserved REPRESENTATION Claimant Radwan Ahmad ("Claimant") was represented by Lee A. Schwartz, Esq., Werner & Schwartz, Philadelphia, PA. Respondent Ali M. Khan ("Khan") did not appear. CASE INFORMAT

N.A.S.D. AWARD C ]teC-/ It- 7 7 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants David K. , Sandra and Todd demons 92-04238 Name of Respondents Prudential Securities Inc D National Associano'-; o; Secuntjes Dealers, iuc All Rights Rcscrvci REPRESENTATION For Claimants David K. demons, Sandra demons and Todd demons (collectively "Claimants"), appeared Charles C. Mihalek

NASD REGULATION. INC AWARD In the Matter of the Arbitration Between Name of Claimmit Anwm^i Ra^hid Case No. vs 94-00751 Name of Respondents The Stanford Company, Inc Angel Torres REPRESENTATION For Claimant Anwari Rashid ("Claimant") appeared Adolph D. Seltzer. Esq. a sole practitioner with offices located in New York. New York. Subsequently. Claimmit appeared pro se. For The Stamford Compmiy Ine. ('"Stamford") appeared David Garodnick

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant George F. Virsack 94-00648 Name of Respondents Shearson Lehman Brothers, Inc Fred Schultz Scjuriiiu:. DcuiLTf., inc. REPRESENTATION For claimant George F. Virsack ("claimant"), Karl Alexander, Esq. of the law firm Sherrard, German & Kelly, P. C, located in Pittsburgh, Pennsylvania. For respondent Shearson Lehman Brothers,

nc.n-1• N.A.S.D. AWARD NATIONAl. ASSOCIATION OF SECURITIES DEALERS In thie IVIatter of thie Arbitration Between Name of Cialmant M.S. FarreU & Co., Inc. 94-00252 Name of Respondents Steve Abboud S.S.I. Corporation CASE SUMMARY In a claim filed withi thie National Association of Securities Dealers, Inc. on January 24, 1994, Claimant M. S. Farrell & Co., Inc. alleged thiat Respondents S.S.I. Corporation and Steve Abboud gave Claimant an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration Between Name of Claimant Charles W. Perelle V. Name of Respondent PaineWebber, Inc. • • NASD Arbitration No. 94-00145 REPRESENTATION For Claimant: For Respondent: Dennis G. Merenbach, Esq. Santa Barbara, California Catherine J. Pratt, Esq. PaineWebber, Inc. Los Angeles, California CASE INFORMATION Statement o

N.A.S.D. AWARD . .,3L1C NATIONAL ASSOCIATION OF SECURI TI ES DEALERS In the Matter of fhe Arbitration Between Name of Claimantfs') Alan N. Fames 94-00072 Name of Respondentrs) Olde Discount Corporation Ann Evans REPRESENTATION For Claimant Alan N. Fames: J. Pat Sadler, Esq., Atlanta, GA. For Respondents Olde Discount Corporation and Ann Evans: Mark Kowalsky, Esq. of the law firm of Hertz, Schram and Saretsky, P.C. pioomfield Hills, ML

1 • 1)1^ N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of Arbitration Between Name of Claimants Ted T., Jean, and James Takayesu Name of Respondents Pmdential Bache Securities Inc., and Jerrold L. Tepper REPRESENTATION For Claimant Ted T., Jean and James Takayesu: J. Reed Millsaps and Michael L. Maduff of the law firm of Millsaps and Maduff, Chicago, IL. For Respondent Pmdential Bache Securities Inc., and Jerrold L. T