Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Dr. LeRoy Misuraca Claimant Case Number: 00-02253 v. CIBC Oppenheimer Corp. and Geoffrey Scott Paul Respondents Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondents CISC Oppenheimer Corp. and Geoffrey Scott Paul: Michael E. Friedman Law Office of Michael E. Friedman Pasadena, California Samu

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04442 Howard Hamil, claimant vs. Smith Barney, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Plant City, FL. For Respondent appeared Linda R. Alpert, Esq. - New York, NY. DATE FILED: 9/10/97 CASE SUMMARY: Claimant alleged overpayment to ex-wife with respect to the liquidation of an account. Claim Data Award Data Claim: $3,442.

NASD Regulation, Inc. Award In the Matter of Arbitration Between McFarland, Grossman & Company, Inc., Claimant, and No. 97-04435 David Gertner, Respondent. REPRESENTATION OF PARTIES Claimant, McFarland, Grossman & Company, Inc., ("MGCO") was represented by A.W. Bohnert, Vice President of MGCO located in Houston, Texas. Respondent, David Gertner ("Gertner") filed his Statement of Answer pro se and was represented by Manfred Sternberg at t

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04427 Dennis Thaw, claimant vs. First Liberty Investment and Ray Selvadurai, respondents. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Syosset, NY. Respondent Anthony Ray Selvadurai appeared Pro Se - Syosset, NY. First Liberty Investment did not appear. DATE FILED: 9/9/97 CASE SUMMARY: Claimant alleged unauthorized trading of common stock. C

I —DEC. 15.1998" 9: ISAM NfiSD REGULATION FL NO.315 P.16 NASD REGULATION, INC. AWARD NASD RffT4latiop v Inc., Office of Dispute Resolution In the Matar of the Arbitration Between Nairn ^Claimant Joseph Tietlemann Case Number 97-04425 IS fines ,of Respondents PaineWebbsr, Inc. Larry Raiiord REPRESENTATION For Claiiittnt; Alissa H. Codel, Esq. of the law firm of Zimring & Ellin, P.C., Atlanta, Georgia. For Respondents: Terr

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04420 Julie L. Brewer Keith, custodian/Heather N. Keith and Lauren B. Keith, claimants vs. Tony L Bevin and American National Insurance, respondents. ATTORNEYS: Claimant appeared Pro Se, Escondido, CA. For Respondent Tony Bevin, Appeared Jeffrey Y. Greet, Esq., of the firm, Royce, Grimm, Vranjes, McCorarick & Graham, T i.p. San Diego, CA. Respondent (non-m

97-04416 N.A.S.D. REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Xiaoming Jiang Name of Respondent Ceres Securities, Inc. (n.k.a. Ameritrade) REPRESENTATION Claimant Xiaoming Jiang ("Claimant") appeared pro se. Respondent Ceres Securities, Inc./n.k.a. Ameritrade ("Respondent") was represented by Gilbert Boyce, Esq., Kutak Rock, Washington, D.C. and James A. Ri

NASD AWARD & STIPULATION NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Aaron Sears CASE 97-04413 Name of Respondents M.S. Farrell & Co., Inc. Gabriel Antuna Thomas Gallo Debbie Hennessey REPRESENTATION Claimant Aaron Sears ("Claimant") appeared pro se. Respondents M.S. Farrell & Co. ("M. S. Farrell"), Gabriel Antuna ("Antuna"), Debbie Fennessey ("Hennessey"), and Thom

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant/Counterrespondent Larry D. Doub - .__ i i i > i -~\ y CH - ^^'< * and Name ofRespondents/Counterclaimants Citizen's Bank & Trust Co., J.C. Bradford & Co. REPRESENTATION OF PARTIES Larry D. Doub ("Claimant") was represented by H. Naill Falls, Jr., Esq., Falls, Ramsey & Veach, Nashville, Tennessee

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gary Pirschl 97-04411 Name of Respondents Duke&Co.,Inc Victor M. Wang Greg Adam Thaler Michael C. Straus REPRESENTATION Claimant Gary Pirschl ("Claimant") was represented by Steven B. Caruso, Esq., of Maddox, Koeller Hargett & Caruso, New York, NY. Respondent Duke & Co., Inc. ("Duke") did not appear at the hearing. Respondents Victor Wang ("