Award NASD Dispute Resolution In the Matter of the Arbitration Between: Kirk Graham, (Claimant) vs. John Cook and Argus Securities, Inc., (Respondents) Case Number: 01-06938 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Kirk Graham, hereinafter referred to as "Claimant" appeared pro se. Respondent, Argus Securities, Inc. ("Argus") did not appear at the hearing in this matter. Previously represented by: Charles S. Richard Bell, Bra

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Timothy J. Salmon and Marci E. Salmon and 01-06935 Phoenix, Arizona Name of Respondents New England Securities Corp. Thomas W. McConneli Stephen M. Kolesar Charles R. Kolesar REPRESENTATION OF PARTIES Timothy J. Salmon and Marci E. Salmon ("Claimants") were represented by Robert C. Hackett, Esq., Thomas Quigley, Esq. and Carolyn Matthews, Esq

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimants Larry D. Graver, Individually, and on behalf of his RAs v. 01-06934 Denver, Colorado Respondents Merrill Lynch, Peirce, Fenner & Smith, Inc. and C. Leslie Forslund Nature of Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES Larry D. Craver, Individually, and on behalf of hisIRAs ("Claimants") were represented by Richard A.

Award NASD In the Matter of the Arbitration Between: Linda Bokor, Michael Bokor, Jason Bokor, and Sheldon Horowitz and Linda Bokor as Trustees of the Erna Horowitz Revocable Trust, Claimants v. Summit Equities, Inc., Martin Singer, Steven Weinman, Frederick R. Stubbs, Salvadore R. Salvo, Rembart D. McNeer, and Joseph F. Rowek, Respondents Case Number: 01-06928 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Linda Bokor, Michael Bokor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name nf the Claimant Vaughin M. Mungin Name of The Respondent Chapman On-Line, Inc., The Chapman Company, Earl U. Bravo, Sr., Demetris B. Brown, and Nathan A. Chapman Case Number: 01-6925 Hearing Site: Baltimore, Maryland ^PRESENTATION OF PARTIES Claimant Vaughin M. Mungin, hereinafter referred to as "Claimant", was represented by Stephen J. Williams, Esq

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Joann Schwartz, Trustee, of the Jerome and Joann Schwartz Trust, Claimant v. McLaughlin Piven Vogel Securities, Inc., Respondent Case Number: 01-06924 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Mitchell S. Ostwald, Esq. Law Offices of Mitchell S. Ostwald Sacramento, California For Respondent: Kevin J. Roll, Esq. Gordon-Creed, Kelley,

Award NASD In the Matter of the Arbitration Between: Name oflhc Claimant Evelyn J. Lewis Names of the Respondents Cybervest Securities, Inc., Thurgood Pittman and Bill Chien Case~NumberT 01 -06923 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Evelyn J. Lewis, hereinafter referred to as "Claimant": Russell L. Forkey, Esq., Russell L. Forkey, P.A., Ft. Lauderdale, Florida. Respondent Thurgood Pittman ("Pittman") appea

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASE: 01-06916 Raul G. Garcia, Herminia M. Garcia, Francisco G. Garcia and Mary Ann Flynn, claimants vs. Bane of America Investment Services, Inc., respondent. ATTORNEYS: Claimants appeared pro se through Raul G. Garcia, Oakland, CA, For Respondent appeared Dena L. Narbaitz, Esq., of the firm Steefel Levitt & Weiss, P.C., San Francisco, CA. DATE FILED: December 20, 2001 CASE SUMMARY: Claimant

Award NASD In the Matter of the Arbitration Between: Perla Holdings, Inc., A British Virgin Island Company, Claimant v. Kirlin Securities, Inc., Respondent Case Number: 01-06913 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Perla Holdings, Inc., A British Virgin Island Company, hereinafter referred to as "Claimant": Steven R. Reininger, Esq. and Howard R. Behar, Esq., Rasco Reininger Perez & Esquenzai, P.L., Coral Gables, FL. F

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patricia T. Arnold and John T. Arnold JT TEN, Claimant vs Geoffrey T. Griffin, Mark Wayne Anthony and First Union Securities, Inc. Case Number: 00-02369 Hearing Site: Raleigh, North Carolina REPRESENTATION OF PARTIES For Patricia T. Arnold and John T, Arnold JT TEN, hereinafter referred to as "Claimant": Thomas K. Maher, Esq., Rudolf, Maher, Widenhouse & Fialso, Chapel Hill, N