N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Sheikh Abdulla A. Al-Nahayan 95-02514 Name of Respondents PaineWebber, Inc. Isaac Sofair Charles W. Grier REPRESENTATION Claimant Sheikh Adbulla A. AI-Nahayan ("Claimant") was represented at the hearing by Charles R. McCarthy, Jr., Esq. of O'Connor and Hannan, Washington, DC. Respondents PaineWebber, Inc. ("PaineWebber")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Earl G. Clement Trust 95-02529 Name of Respondents Dmitry D. Levitsky Amerinational Financial Services, Inc. REPRESENTATION Claimant James Clement, Trustee for the Earl G. Clement Revocable Trust ("Claimant") was represented by Stephen W. Comiskey, Esq., Comiskey & Hunt, McLean Va. Respondent Dmitry D. Levitsky ("Levitsky

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of riaimantg JNL Plumbing & Heating Profit Sharing Plan 95-02534 Name of Respondents Compass Investment Services NorthFork Bancorp W.H.O. Coip. Randi DiLeone REPRESENTATTniv Clataan. jm. Ptabing & Hea.mg P„,fl, Sh^g Pto ("Claiman."), appears! Stephen e^r:~t ' «™ NASD and did „« Respondent Randi DiLeone ("DiLeone") appeared Pro Se

STIPULATED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Claimant Megan Malstrom v 01-06381 Denver, Colorado Respondents Morgan Stanley Dean Witter and Eric Johnson REPRESENT ATTON OF PARTIES Megan Malstrom ("Claimant") was represented by David Liebrader, Esq., Las Vegas, Nevada. Morgan Stanley Dean Witter ("MSDW") and Eric Johnson ("Johnson") were represented by William D. Nelson, Esq., of Rothgerber Johnson

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Donald G. Powell, individually and Individual Retirement Account, Claimant, V. No. 95-02459 Charles Schwab & co.. Inc., and John Sturtevant, Respondents. REPRESF.NTATfON OF PARTTFS Donald G. Powell ("Powell"), individually and Individual Retirement Account ("Claimant") was represented by Jane L. Stafford, Esq., Watson & Marshall L.C, Ka

Award NASD Dispute Resolution In the Matters of the Arbitration Between: Wedbush Morgan Securities Inc., Claimant v. Jonathan David Worley, Respondent Jonathan David Worley, Counter-Claimant v. Wedbush Morgan Securities Inc., Counter- Respondent Case Number: 01-06380 Hearing Site: Los Angeles, California Nature of the Disputes: Member v. Associated Person Associated Person v. Member REPRESENTATION OF PARTIES For Claimant/Counter-Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Alan Bandy, Claimant v. Morgan Stanley DW Inc. and Michael Marquez Laconsay, Respondents Case Number: 01-06377 Hearing Site: Honolulu, Hawaii REPRESENTATION OF PARTIES For Claimant: Neal K. Aoki, Esq. Koshiba Agena & Kubota Honolulu, Hawaii For Respondents: Christine A. Kendrick, Esq. Morgan Stanley DW Inc. San Francisco, California CASE INFORMATION Statement of

NASD dispute ResolntieQi Inc, In the Matter of &e Arbitration Between N^e of Claimants Jerome J. and Diane L. Ghiliano 99-02438 Name of Respondents Comprehensive Capita Corp, and Theodore AUpcca, Jr. Hearing Location: Biiladelphia, PA REPRESENTATION Claimants Jerome J. and Diane L. Giulianp ("Claimants^) were represented by Erwin Cohn, Esq. of the law firm of Cohn & Cohn, Attorneys at Law, Chicago, IL. Respondent Cornprehensiye Capital Corp. (

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard W. Towt, Claimant v. World Trade Financial Corporation and William P. Sbrong, Respondents Case Number: 99-03326 Hearing Site: San Diego, Califomia REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, Califomia For Respondents: Irving M. Einhom, Esq. Law Offices of Irving M. Einhom Los Angeles,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Behn/een: " " William Armitage v. Roman Salch, Earl J. Swan, III and Golden Lender Financial Group {nMa J.P. Gibbons & Co., Inc.) Case Number: 99-4508 Hearina Site: Southfield, Michigan REPRESENTATION QF PARTIES Claimant, William Armitage ("Armitage"), hereinafter referred to as "Claimant": James P. Murphy, Esq.. Berry Moorman, Detroit, Michigan. Respondent, Earl J. Swan, III, herein