Case No. 92-00145 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Lester Hirsch Steven H. Adler James J. Woodcock Rudolf A. Fernandez Andrew M. Hirsch Name of RespondentCs) PaineWebber, Inc. REyRESENTATIQN For Claimants, Lester Hirsch ("L. Hirsch"), Steven H. Adler ("Adler"), James J. Woodcock ("Woodcock"), Rudolf A. Fernandez ("Fernandez") and Andrew M. Hirsch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Fn the Matter of the Arbitration Between Nartie of Claimant Paul Wiener 95-00347 Name of Respondents Kidder, Peabody & Co., Incorporated Anthony O'Callaghan REPRESENTATION For Claimant Paul Wiener ("Claimant") appeared Edward Gasthalter, Esq. of the law firm of Frydman Beck King & Arad located in New York, New York. For Respondents Kidder, Peabody & Co., Incorporated and Anthony O'C

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter cf zhe Articracicn Satween Name of Claimant -^N 3 0802 Fairmont National Bank n/k/a Bank Midwest Name of Respondent First Bankers Securities ' Corporation n/k/a Kingland Capital Corporation Name of Claimant Kingland Capital Corporation f/k/a First Bankers Securities Corporation and First Bankers Leasing Company Name of Reapondent Bank Midwest

N.X.S.D. AWARD N ATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name ot Claimant! s) Jeffrey .A, Schafer CASE #91-03876 Name ot Respondentf.s) South Richmond Securities. Inc. REPRESENTATION For Claimant. Jeffrey A. Schafer ("Claimant"). Andrew B. Siegei. Esq. from the law firm of Goidel & Siegei. For Respondent. South Richmond Securities. Inc. ("SRSI"). Cirino M. Bruno. Esq. from the law firm of Gusrae,

\ 91-03812 N.A.S.D. AWARD SATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot the Arbitration Between Name of Claimant(s) Janney Montgomery Scott Inc. Name of Respondentf s) Eric Frank REPRESENTATION For Claimant: Mary AM Melchiorre. Esq. of Janney Montgomery Scott. For Respondent: Erik Frank appeared Pro Se. CASE INFORMATION Statementof Claim filed: DeaaiiDer2. 1991. Claimant's Submission Agreement signed on: November 25.

N.A.S.D ANARD NATIONAL ASSOCIATION OF SECURITIES DKAIiKRS IN THE MATTER OF THE ARBITRATION BBTWBBN ^0""^^ \0\^ NftMS OF CIAIMMrr ^\ ^t^yA' ^oy^ Janney Montgomery Scott, Inc. 91-03754 NAMB OF RESPONDENT John S. Scurci pigppRgigiTATIOH For Claimant: Richard A. Purkiss, Esq. of Janney Montgomery Scott, Inc. For Respondent: John S. Scurci appeared pro se. CJ^B INFORMATION Statement of Claim filed: November 21, 1991. Claimant's Su

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 02-04566 First Republic Group, L.L.C., claimant/counterclaim respondent vs. Patrick Esparrago, respondent/counterclaim claimant. ATTORNEYS: For Claimant/counterclaim respondent appeared inside counsel, John Vaughan, Esq., New York, NY. For Respondent/counterclaim claimant appeared David A Gehn, Esq. of the firm Gusrae, Kaplan & Bruno, PLLC, New York, NY. DATE FILED: August 8, 2002 C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimants Case Number: 00-02909 A. Douglas Russell, Jr. Marie-Caroline M. Russell 1966 Russell Family Trust 1967 Russell Family Trust 1968 Russell Family Trust Name of the Respondents Prudential Securities, Inc. Scott Allan Cohen REPRESENTATION OF PARTIES Claimants, A. Douglas Russell, Jr. ("D. Russell"), Marie-Caroline M. Russell ("M. Russe

\10 N.A.S.D. .WARD ^ NATIONAL ASSOCIATION OF SECURITIES DEALERS 111 the Matter of the Arbitration Between Name of Claimant George W. Bennett vs. CASE #91-03569 Name ot Respondent Salomon Brothers Inc REPRESENTATIOS For Claimant. George W. Bennett. Jr.. ("Claiinant"). Stuan Kaufman. Esq. from the law firm of Fisch & Kaufman. P.C. For Respondent. Salomon Brotiiers Inc. ("Respondent"). John R. Hupper. Esq. troin the law finn ot Cravath. S

N.A.S.D. .-XWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the iVIatter or the Arbitration Between Name of Claimant Michael Snow Name (^f Respondent Kam Teiwani 91-03459 Arbitration National Association ot Secunties Dealers. Inc. NASD Financiat Center 33 Whitehall Street -' New York. N.Y. 10004 FAX (212) 858-4389 REPRESENTATION Fur Claimam Michael Snow ( "Claimant"). Mr. Snow represented himself. For Respondent Kam