Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the riaimants David Martin, James E. Bnmner, William J. Haley, and Daniel F. Rea Name nf the Respondents IDS Life Insurance Co. and American Express Financial Advisors Inc. CasftNmnher: 97-04797 Hearing Site: Pittsburgh, Pennsylvania RFPRFSFNTATTON OF PARTTF.S Claimants James E. Brunner rBrunner"), William J. Haley ("Haley") and Daniel F. Rea ("Rea"), were

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01174 Kevin L. Kaeding, claimant vs. Royal Alliance Associates, Inc. and Morton J. Potoff, respondents. ATTORNEYS: Claimant appeared Pro Se, Marlboro, MA. For Respondent Royal Alliance Associates, Inc., appeared in-house counsel, Barbara Mclnemey, Esq., New York, NY. Respondent Morton J. Potoff appeared Pro Se, Framington, CT. DATE HLED: March 7, 1997.

Apr-13-2005 07:45ain Fron-NASDA DISPUTE RESOLUTK 2136132677 T-648 P.002/005 F-677 AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Mort Sahl Name of Respondents Merrill, Lynch, Pierce, Fenner & Sroilh, Inc. and Robert Hersh REPRESEISTATION Arbitration No. 98-00425 For Claimant: For Respondents: Makeda Karimulou, Esq. Law Office of Makeda Karimulou Orange, California Robert H. Log

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Joseph J. Zampetti vs. Case No. 98-03647 Name of Respondents Bluestone Capital Partners, LP Kerry Dukes Steve Solano Philip Orlando Tony Orlando REPRESENTATION For Claimant Joseph J. Zampetti ("Claimant") appeared Thomas J. Hanrahan, a sole practitioner located in Glen Rock, New Jersey. For Respondents Bluestone Capital Partners, LP ("Blue

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 02-04508 The Hymen Herbert and Bemice Spector Revocable Living Trust Bernice Spector IRA Names of the Respondents Hearing Site: Tampa, Florida A.G. Edwards & Sons, Inc. Joseph DePasqua Nature of the Dispute: Customer v. Member and Associated Person. REPRESENTATION OF PARTIES For The Hymen Herbert and Bernice Spector Revocabl

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-01331 Edward J. Hautman and Jan K. Hautman, claimants vs. Global Strategies, Inc., respondent ATTORNEYS: Claimants Edward J. Hautman and Jan K. Hautman ("Claimants"), Pro Se., Cincinnati, Ohio. Respondent Global Strategies ("Respondent"), did not respond to the Statement of Claim DATE FILED: 04/09/1998 CASE SUMMARY: Claimant alleged that he placed an order to se

08/07/2003 15:57 FAX NASD ©006/014 Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Hershel Burton, (Claimant) vs. Paul Salim Tahan, Scott Peter Piccininni (a/k/a Scott Parker), Roland Imre Greenspan, Robert Edward Mitchell, Mitchell Financial Corp., (Respondents) Case Number: 98-04841 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Hershel Burton ("Burton"): Andrew Zahaykevich, Esq., Vanasco, Wayne & Genell

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Leonard Gliner (Claimant) v. Prudential Equity Group, LLC f/k/a Prudential Securities, Inc. and Stanley Blaustein (Respondents) Case Number: 02-04502 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Leonard Gliner ("Gliner") hereinafter referred to as "Claimant": John J. Marinan, Esq., New Monmo

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claima^ William G.Zeller and 98-04383 Phoenix, Arizona Name of Respondents Kensington Securities, Inc Howm^d Davis REPRESENTATION OF PARTIES William G. Zeller ("Claimant") was represented by Jon A. Titus, Esq. and Christopher D. Lonri, Esq., Titus, Rrueckner& Berry, P.C., Scottsdale, Arizona. Kensington Securities, Inc. ("Respondent Kensington") and Howard Dav

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: MP Value Fund 4. MP Value Fund 12 and Accelerated High Yield Institutional Investors. Claimants V. The Partnership Marketing Co..United Pacific Securities, inc. and Merrill Lynch. Pierce. Fenner. Smith. Inc. Respondents. Case Numhq: 99-02512 Hearing Site: San Francisco. C.4 REPRESENTATION OF PARTIES For Claimant: Charfcs J. Noth. Esq. 3650 Fillmore Strcci Suite 302 S