Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Key L.C., a Utah limited liability company, John Lunt, Sarah L. Benson and Lunt Legacy, L.C., a Utah limited liability company, Claimants v. R.D. White & Company, Inc., John R. Piscopo, Charles Joseph Principato, Jr. and Louis Joseph Pagano, Respondents Case Number: 98-01320 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: For Respondent R.D. W

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert Giampolo and Lucille Giampolo, (Claimants) vs. Hunter Intemarional Securities, Inc., Howard C. Jones, Louis Nick Nizza, Jr., Edward G.W. Donner, III, and Brad M. Nirenberg, (Respondents) Case Number: 98-04651 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Giampolo ("R. Giampolo") and Lucille Giampolo ("L. Giampolo"), hereinafter collectiv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harrison Richey Johnston Revocable Trust, Claimant v. Morgan Stanley DW, Inc., Nancy L. Eklund, and Franklin Management, Inc., Respondents Case Number: 01-05799 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: For Respondent Franklin Management, Inc. For Respondents Morgan Stanley DW, Inc. and Nancy L. Eklund: James R. Nichols, Jr., Esq.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lee Tibbs, (Claimant) vs. Charles Schwab & Co., Inc., Dianne Smith, Jason Ungles, and Brent Gray, (Respondents) Case Number: 01-03265 Hearing Site: Cincinatti, Ohio REPRESENTATION OF PARTIES Clain:iant, Lee Tibbs, hereinafter referred to as "Claimant": Daniel L. O'Brien, Esq., Daniel L. O'Brien Co., L.P.A., Dayton, OH. Respondents, Charles Schwab & Co., Inc. ("Schwab"), Dianne Smi

stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bryan Geremia, Claimants V. Christopher M. Manettas, Respondent Case Number: 01-00702 Hearing Site: New York, NY REPRESENTATION OF PARTIES For Claimant(s): Jeremiah J. Moryko GiuUetti and Morytko. LLC 22 Broadway North Haven, CT 06473 For Respondent(s): CASE INFORMATION Christopher M. Manettas ^re i.^.- ^ ^ Statement of Claim filed

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Prime Capital Services, Inc. Case No. vs. 97-01910 Names of Respondents Stuart Bram Leon Procopio REPRESENTATION For Claimant Prime Capital Services, Inc. ("Claimant") appeared David Jarvis, Esq. of the law firm Singer Zamansky, LLP located in New York, New York. For Respondent Stuart Bram ("Bram") appeared Robert H. Jaffa, Esq. of the law firm Robert

Award NASD In the Matter of the Arbitration Between: Names of the Claimants Richard A. Bokor Judy S. Bokor Names of the Respondents Josephthal & Co., Inc. Amir Sadighi William Ebert, Jr. Case Number: 01-06366 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Richard A. Bokor and Judy S. Bokor, hereinafter referred to as "Claimants': David S. Wieder, Esq., David S. Weider, P.A., Miami, Florida. For Respondents Josepht

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Navi, (Claimant) vs. Michael Broderick Prendergast, (Respondent) Case Number: 00-03337 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John Navi, hereinafter referred to as "Claimant": John E. Lawlor, Esq., a sole practitioner, Mineola, NY. Respondent, Michael Broderick Prendergast, hereinafter referred to as "Respondent", appeared pro se. CASE

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the rimTn;int Raymond James & Associates, hic. Name nf the T^espondent Len R. Holliday r:^seNnmhf^r: 02-03253 Rearing Site: Charlotte, North Carohna T^FPRFSFNTATTON OF PARTTFS; Claimant Raymond James & Associates, Inc., hereinafter referred to as "Claimanf, was represented by Rick A. Buchwalter, Esq., Raymond James & Associates, Inc., St. Petersburg, Florida.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert L. Brenneman (Claimant) vs. Lawrence Miles Brazie, Westminster Financial Securities, Inc. and Westminster Financial Advisory Corp. (Respondents) Case Number: 01-06364 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, Robert L. Brenneman, hereinafter referred to as "Claimant": W. Sean Kelleher, Esq., Worthington, OH. Respondents, Lawrence Miles Brazie ("Braz