Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dain Rausher Incorporated (Claimant) v. Mark G. Harrington (Respondent) Case Number: 00-02854 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Dain Rausher Incorporated: Daniel Brown, Esq. of Dorsey & Whiney LLP located in Minneapolis, MM. Respondent Mark G. Harrington: Terry H. Sears, Esq, of Terry H, Sears P.C., located in Houston, TX. CASE INFORMA

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03725 Charles A. Thurman (Consolidated with 02-06940) Names of the Respondents Hearing Site: Orlando, Florida E*Trade Securities, Inc. n/k/a E* Trade Securities LLC E*Trade Group, Inc. E*Trade Financial, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-06940 Charles A. Thurman (Consolidated with

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roger Klein and Daniel Brenner, Claimants vs. L.T. Lawrence, Jolin Bruni, Lawrence Principato, Todd Edward Roberti. and CIBC Oppenlieimer Corp., Respondents. Case Number: 97-03667 Hearing Site: Kansas City. Missouri HEPRESEMTATIQM OF PARTIES Claimants, Roger Klein and Daniel Brenner, liereinafter collectively referred to as "Claimants" were represented by Diane A. Nygaard, Esq., Lea

NASD REGULATION AWARD In the Matter of the Aibitration Between NamP! nf riaimant Richard M. McLoone 96-05172 Name nf Respondent Commonwealth Associates REPRESENTATION Claimant Richard M. McLoone ("claimant") appeared pro se. For respondent Commonwealth Associates ("respondent") appeared J.P. WUson, Esq., General Counsel and Managing Director of Compliance of Commonwealth Associates. CASE INFORMATION Statement of Claim was filed on November

o o Arbitration ® N.A.S.D. AWARD NanONAL ASSOCIAnClT OF SECURITIES DEALERS In the Matter of the Arbitxation Betweea Ifama of Claimant PainSMefcber, loo. 91-03188 M&me of BfiCTKary^""** Jamas A. Paradise National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York, N.Y. 10004 FAX (212) 858-4389 For Claimant: For ReepcDdent: Paul 6. Thcmas, Bsq. CSiarles E. Kovsiky of the

o 1T.A.S.D. NRMID NZVTICNaL ASSOdSmOtl OF HhniKI'I'LES UEXSaS In the Matter of tbe Aiijitxatiaa BetMeen Njamp ma4Tant nmBS C. Altflllisch vs. NASD #91-02817 Nane^f_^gpcpdents Gezald H. Klein FOOT dainant: T. Altfillisch For SeapcEident: 6. Klein o Statanent of Claim filed: ClaisBnt*s St±Dissiaa Agreement Statement of AnsMer filed by Raspandent's Sufamiesloa 11, 1991 signed: Septeoider 6, 1991 it on: Hfcnreabeac 7

N.A.S.D. AWAjRD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant D.H. Blair & Co., Inc. #91-02716 Name of Respondent Neil Sullivan For Claimant: For Respondent: REPRESENTATION Monica Grossbaum, Esq. of the law firm of Bachner, Talley, Polevoy & Mischner. The Respondent did not attend the hearing. CASE SUMMARY Statement of Claim filed on: August 29, 1991. Claimant's Submiss

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Aifeitration Between Name of CAaimsmURi PaineWebber, Inc. 91-02679 Name of Respondentf.s't Steven M. Cohen REPRESENTATTON For Claimant PaineWebber, Inc.: Paul G. Thomas, Esq. Tbe pendent appeared pro se on November 12, 1992 and did not attend the hearing on April CASE INFORMATTOTV Statement of Claim filed: August 28, 1991. Claimant's Submission Agreement sig

Arbitration ® N.A.S.D. JflOfflD NMICKMi ASSOdftnCN OF SECdRITIES DEZVLESS m tte Matter of tte Aiisitratioa Between MamB of Clp^™w*^ Robert Badano 91-02633 Njaae of Respcndent Legg Mteon Wood Walter, T"*? Natioinil Aaaoctatton of Securities Dealers, Inc. NASD Rnancial Center 33 Wiiitehall Street New York, N.Y. 10004 FAX (212) 858-4389 o For Claimant: For iRespondent: JcHaa ncedridcson, Esq. of tte law flzm of Fos

H.A.S.O. IHMD NKCXQNMCi ASSdiClATXCN OF SBCORITIBS OBVIERS la tte Matter of tte Azbitration Name o£ daimantfs) mmamssaoBssamaanssmgamimm Ttjzner Oil Oo. of Nilscn, lae 91-01478 of j^^f^fn [njii ZietanoBpci Bkittxn, Xoc. Artiitratlon NatloiMl AssoeiaOon of SecuritkMi Oealant, Inc. One East Broward Boulevard Suite 1000 Ft Lauderdale. Florida 33301 (SOS) 522-7391 FtK dadtenifef TOCBB/K Oil Ob* of WUMn* Zoo. ( Meoanii