Final Order NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Ray, (Claimant) vs. Edward N. Eisner, (Respondent) Case Number: 97-02156 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant David Ray, hereinafter referred to as "Claimant"; Frank J. Liberty, Esq., Greenberg & Parenteau, P-C, New London, CT. Respondent Edward N. Eisner, hereinafter referred to as "Respondent", appeared pro se. CASE INFORMATION

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Frederick W. Laub and 98-03673 Detroit, Michigan Investors Associates, Inc. Dennis Fischer Fritz Capria, and Paul E. Forsythe.lll REPRESENTATION OF PARTIES Frederick W. Laub ("Claimant") was represented by Lisa Sigall Scimeca, Esq., Marlton, New Jersey. Investors Associates, Inc. ("IA"): did not appear Dennis Fischer ("Fischer") was represented by April M.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Len Holubowich Gail Holubowich, and L.A. Holubowich, Inc, Case No, 97-01914 Bear Steams & Co., Inc, Bear Steams Securities Corp., Alan C. Greenberg, Richard Harriton, and Marshall J. Levinson Hearing Site: Philadelphia, PA RF,PRF,SF,NTATT( Claimants Len and Gail Holubowich and L.A. Holubowich, Inc. (collectively referred to a.'j "Claimants"): Aegis J.

Stipulated Award NASD Dispute ResoluUon, Inc. In the Matter of tbe Arbitration Between: DAVID HAYDEN, Claimant Case Number: 01-06871 ROBERTSON STEPHENSTINC, JUSW^a-jr PIAZZA, WILLIAM N. KELLER, ROBERT A. MCLALAN JR., and KEVIN P. BERRY, RespcHidents Hearin|g Site: San Francisco REPRESENTATION OF PARTIES For Claimant: For Respondents: Joseph J. Piazza and William N. Keller John S. Lottier, Esq. Bartico, Zankel, Tarrant & Miller

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: WilUam W. King, Claimant Vs. American Express Financial Advisors, Inc., Linsco/Private Ledger Corp., and Craig P. Scanlon, Respondents. Case Number: 00-03725 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant William W. King ("King") was represented by David A. Schaefer, Esquire, of McCarthy, Lebit, Crystal & Haiman Co., L.P.A., Cleveland, O

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Isaac Hakim and Shirley Hakim, individually and Shirley Hakim as tmstee of die Isaac & Shirley Hakim Living Tmst dated 2/7/97, Claimants v. Salomon Smith Barney Inc. and Mark Leonard Cohen, Respondents Case Number: 98-04671 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: For Respondent Salomon Smith Barney Inc. For Respondent Mark Leonar

Award NASD Dispute Resolution, Inc. In die Matter of die Arbitration Between; Robert A. Dadarria, (Claimant) vs. J.B. Hanauer & Co., Paul Gordon, and Vincent Cestone, (Respondents) Case Number: 98-04682 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Robart A. Dadarria, hereinafter referred to as "Claimant"; Richard A. Joel, Esq., Joel & Joel, LLP, Oradell, NJ. Respondents, J.B. Hanauer & Co. ("Hanauer") and Paul Gordon ("Gordon")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Harvey Kinzelberg Mitchell Gregg Case No. 96-05504 Name of Respondent Steven Vomea Name of Third-Partv Respondent Michael Newman Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Harvey Kinzelberg ("Kinzelberg") and Mitchell Gregg ("Gregg"), hereinafter referred to as "Claimants": Thomas E. Manick, Esq. of Adomo & Zeder, P.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James M. Mosher, Claimant v. Stock USA, Inc., Ralph O. Mann, Arthur M. Quintero, and James A. Gerwick. Jr., Respondents Case Number: 00-03345 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: James M. Mosher In Propria Persona Desert Hot Springs, Califomia For Respondents Stock USA. Inc., Ralph O. Mann, Arthur M. Quintero and James A. Gerwi

Award NASD Dispute Resolution, Inc. In the Matter of the ArbibBtion Between: Hyuk J. Lee. Claimant v. Prudential Securities, Inc. and Sin Yup Ku, Respondents and related CountercaUm CasR Niimhcn 00-03304 TTf aring R\ti^.- Los Angeles, Califomia RFPHRSFNTATTHN OF PARTIF.S For Claimant: Hyuk J. Lee In Pro Per Hacienda Heights, Califomia For Respondent Prudential Securities, Inc.: David M. Bartholomew, Esq. Esther E. Cho, Esq. Keesal, Young &