Award NASD Regulation, Inc. In the Matter cfthe Arbitration Between: Manuel C. and Lucille Pragana (Claimanis) vs. USLife Equi^ Sales Coip. Gary Ferone. First Hanover Securities, Inc. (nka LCP Capital Corp.), Salvatore A. Maitorano (Respondents); and USLife Equity Sales Corp. (Cross-Claimant) vs. First Hanover Securities, Inc. (nka LCP Capital Corp.) and Salvatore A. Maitorano (Cross-Resp< Hidents) Case Number: 96-01316 MASTER CASE Hearing Site: New York, New

AWARD NASD Regulation, Inc. OflSce of Dispute Rflsolution In the Matter of the Arbitration Between RidiBidHulI, Clainiant, vs. Euro-Atiantic Securities, Inc., Respondent 97-01359 REFRESENTATION Off PAPTIF^ he^^f^^*" Securities. Inc. ("Respondent") was not represented, and Med to appear at the CASEDiFORMATT^TI^ Claimant's Statement of Claim was filed on or about Februaiy 28, 1997. Claimant's sutanission Agreement was signed on April 1,

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Mia Francine Seggel Names of the Respondents Salomon Smith Barney, Inc. and James E. Hole Case Number: 02-03774 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Mia Francine Seggel, hereinafter referred to as "Claimant": Nicholas J. Guiliano, Esq., Phi

AWARD M&3D REgPIATION. INC.. OFFICE OF DlgPtlTE RESOLTITIOH In the matter of the Arbitration Between Name of Claimant(s) Craig Binks Mary Ann Binks vs. Consolidated Cases #97-00222/ 97-02779 Name of Respondent(s) Piper Jaffray Inc. Don J. Larkin Kenneth S. Cameranesi David William James vs. Piper Jaffray Inc. Don J. Larkin Kenneth s. Cameranesi And Related Claims REPHjBSENTATIPN For Claimants Binks:

AWARD NASD EegaiatfaMi, Ine. OfiBee of Dispute Resoltttion In the Matter of the Arintratimt Between ToddR.Gninz». CSaimantt V. Equity Enterimses, Inc., and Equable Securities Coip., Respondents, Consotidatedwith: Equable Securities Corp., Claimant, A.G. Edwards & Sons. Inc.. and ToddGrunze, Respondents. No, 98-04217 No: 98-04578- REPRESENTATION OF PARTIES Equable Securities Coip. ("Equable") was represented by Michae

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Edward O. Petersen, Claimant v. Mark W. Bailey and RBC Dain Rauscher Inc., Respondents Mark W. Bailey and RBC Dain Rauscher Inc., Counter Claimants v. Edward O. Petersen, Counter Respondent Case Number: 02-03772 Hearing Site: Seattle, Washington Nature of the Disputes: Customer v. Member Firm and Associated Person Member Firm and Associated Person v. Customer REPRESENTATION OF P

•Modified Aiward NASD Dispute ResoluUon, Inc. In tbe Matter of an Arbitration Between Claimant, JOEL A. STO>JE,. and CAMBRIDCE CAPITAL, LLC, THOMAS MICHAEL ROSSL WEXFORD CLEARING SERVICES CORPORATION, PRUDENTIAL SECORrnBS INCORPORATED, Case No. 9d-01267 (Consolidated with ^ase Nb. 60-959) Award WHEREAS, Respondent Thomas M. Rossi, submitted a po$t-Awaid.moti< m before the arbitraiion pand requesting the panel W rule dtat Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^iirfties, Inc. Mildred H. Beftz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbftration Betwe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^iirities, Inc. Mildred H. Beftz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betwe

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M. Robinson, Individualfy and as Executrix of the Estate of Robert V. Robinson First Allied S^inities, Inc. Mildred H. Beftz First Al&d Securities, Inc. David Hickey and Jean Hickey Case No. 99-04441 (Master Case) In the Matter of the Arlritration Between Namfi nf riaimant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Betwee