I Stipulated Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: Chemical Trading and Investments Corp. 00-02171 Names of the Respondents Hearing Site: UBS PaineWebber, Inc. and Andres Lobo Guerrero Boca Raton, FL REPRESENTATION OF PARTIES For Chemical Trading and Investments Corp., hereinafter referred to as "Claimant": Allan M. Lerner, Esq., Law Offices of Allan M. Lerner, Fort Lauderdale, FL. For Respond

NATIONAL ASSOCIATION OF SECURITIES DEALERS AWARD In the Matter of the Arbittation Between Lawrence McGlade, Claimant, NASD No. 95-1918 PaineWebber, Inc., Respondent. Representation For Claimant: Pro se, San Diego, Califomia For Respondent: Richard Smirl, Esq. of Keesal, Young & Logan, Los Angeles, Califomia Case Information Statement of Claim filed: April 18, 1995 Claimant's Submission Agreement signed: April 24, 1995 Statement of

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs') Daniel L. Pittman 95-01826 Name of Respondent(s) Argent Securities Inc. Marion Bass Securities Corp. Martin J. Heninger REPRESENTATION Claunant appeared Pro Se. For Respondents Argent Securities Inc. and Martin J. Heninger appeared Edward C. Brewer, m, Esq. of Nelson Mullins Riley & Scarborough, Atlanta, Georgia.

« N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Jose A. Cabral &. Jose A. Cabral & Olgfa M. Cabrai Case No. V. 95-01845 Name of Respondents David Leraer Kurt Schlesinger REPRESENTATION Claimants, Jose A. Cabral and Olga M. Cabral appeared pro se. For Respondents, David Leroer and Kurt Schlessinger, appeared Ruthann G. Niosi, Esq, located in New York, New York.

95-01808 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Lee Adler Name of Respondents Oppenheimer & Co., Inc. Thomas Gerard Ley REPRESENTATION For Claimant Lee Adler ("Adler") appeared Derek J.T. Adler, Esq., a sole practitioner, located in New York City, New York. For Respondents Oppenheimer & Co., Inc. ("Oppenheimer") and Thomas G. Ley ("Ley") appeared Mark E. Kapla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Namp. nf riaimants Paul A. Mita and Frances Mita 95-01769 Name of Respondents Gruntal & Co., Inc. David Nichols REPRESENTATION For claimants Paul A. and Frances Mita ("claimants") appeared George V. Cornell, m, Esq., Staten Island, New York. For re^ondent Gmntal & Co., Inc. ("Gruntal") appeared Emilia M. De Meo, Esq. of Gmntal & Co., Inc.

PPR.13.1998 7=35flM NASD REGULATION PL NO.320 P.9 N.A.S.D, STIPULATED AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant C, Elizabeth Wilson Case No. 97-04101 Names of Respondents Legg Mason Wood Walker, Inc James Tracy S tines John R, GLlner James 'V- Brinkley For Claimant: C- Elizabeth Wilson ("Claimant") pro se. For Respondents: Legg Mason Wood Walket, Incorporated ("

N.A.S.D. AWARD NA-nONAL ASSOCLVnON OF SECURITIES DEALERS In the Matter of ttie Arbitration Between Name of ClaimanKs) Phillip & Lily Schwenger 95-01561 Name of ResDondenKs") First Union Brokerage Services, Inc. Ronald J. Lumley REPRESENTATION For Claimants: Phillip Schwenger and Lilly Schwenger ("the Schwengers"): Harry Haskins, Esq. of the law offices of Harry Haskins, Esq., Sarasota, Florida. For Respondents: First Union Brokerage Servic

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Henry and Edith Cockerel, (Claimants) vs. Raike Financial Group, Inc. and Wayne Blanchard Degourney, (Respondents) Case Number: 97-04099 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Henry and Edith Cockerel, hereinafter collectively referred to as "Claimants": Chase Caro, Esq., Caro & Associates, PC, New York, New York. Respondent Raike Financial Group, Inc

••-NOV.a4.199S - £:^rn N flqn REGULfiTlON FL MO.409 p.10 NASD REGULATION, INC, AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Pjames of .Claimant^ Randall Robison, Brenda Robison and Kenneth Looney as trustee for Michel Robison 97-04094 Names of Respondent^ Dean Witter Reynolds, Inc. Albert Benjamin pearce REPRESENTATION For Claimants: Robert B, Eubank, P.C,, Birmingham, Ala