N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03515 Michael J. Higgins, claimant vs. PC Financial Network, Inc.. n/k/a DLJdirect Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Boxford, MA. For Respondent appeared, in-house counsel, David J. Campbell, Esq., Jersey City, NJ. DATE FILED: July 16, 1997. CASE SUMMARY: Claimant alleged that respondent delayed the execution of an order for 1 OEX July

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC, CASE: 97-03514 Brad L. Goldblatt, claimant v. Kevin Dall and Drew Sycoff, respondents. ATTORNEYS: Claimant appeared pro se - Johnstown, PA. Respondents appeared pro se - New York, NY. DATE FILED: 7/16/97 CASE SUMMARY: Claimant alleged unauthorized trading and failure to supervise. Claim Data Claim: $2,400.00 Punitive: $.00 Atty Fees: $.00 Filing Fee

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimantfsl Donald S. Parker Donna G. Parker • . Arbitration No. 97-03510 Name of Respondentfs) Sterling Foster & Co., Inc. Adam R. Lieberman Michael Feinstein Scott Siegel Dennis Rueb Frank J. Monroig REPRESENTATION For Claimants: Roger D. Me11em, Esq., Foster Pepper & Shefelman PLLC, Seattle, Washington For Respondents Sterling Foster &

AWARD NASD REGULATION. INC., In the matter of the Arbitration Between Name of Claimant Buckley Family Trust v. Arbitration No. 97-03506 Name of Respondents Investor Associates, Inc., John Storey and Vincent Grieco REPRESENTATION For Claimant: Michael Huberman, Esq. La Quinta, California For Respondent Investor Associates, Inc.: Did Not Appear For Respondent John Storey: Did Not Appear For Respondent Vincent Grieco: Vincent Grieco

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant i i Diane Scott 97-03503 Name of Respondents Vincent Puma Roan Capital Partners, L.P. REPRESENTATION Claimant Diane Scott ("Claimant") was represented by Thomas J. Schuchert, Esq. and Macguerita T. Young-Jones, Esq., Schuchert & Associates, Pittsburgh, PA. Respondents Roan Capital Partners, LP ("Roan") and Vince

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert Schneiderman vs. #97-03502 Name of Respondents Cortlandt Capital Corp. Alan J. Mandel Ronnie Brenes REPRESENTATION OF PARTIES Claimant Robert Schneiderman ("Claimant") appeared pro se. Respondent Alan J. Mandel ("Mandel") appeared pro se. Respondents Cortlandt Capital Corp. ("Cortlandt Capital") and Ronnie Brenes

NASD AWARD NASD Regulation, Inc. Office of Dispute'Resolution In the Matter of the Arbitration Between Name of Claimant Herring Swine, Inc. 97-03497 Name of Respondents Sterling Foster & Co., Inc. Vincent M. Carrella Diana Goblin Brian P. Kearney AdamR. Lieberman Timothy J. M atthews Frank J. Monroig Vincent G. Vaccaro : .'"', ..-:-'. Albert B. Vespoli " i "- L REPRESENTATION Claimant Herring Swine

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Ross C. Palm and 00-02105 Name of Respondents Dallas, Texas Northstar Securities, Inc. Dominion Capital Corporation Douglas Woodrow Powell Michael H. Henry Charles Dewey Elliot, in Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Ross C. Palm ("Claimant") was represented by Patrick Lanier, Esq., A

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03494 Clair A. Robison TTEE, G. Darlene Robison TTEE and Robison Family Trust, claimants vs. Richard Morello, respondent. ATTORNEYS: Claimants appeared Pro Se. - San Jose, CA. For Respondent appeared Bruce J. Kahne, Esq. - New York, NY. DATE FILED: 7/15/97 CASE SUMMARY: Claimant alleged failure to sell stock when it reached a certain price and failure

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Edward P. Cobb, (Claimant) vs. BBV Securities, Inc. and Probursa International, Inc., (Respondents) Case Number: 97-03489 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Edward P. Cobb ("Cobb"), hereinafter referred to as "Claimant**, appeared pro se. Previously represented by: David B, Wechsler, Esq., Wechsler Bursky & Cohen, LLP, New York, NY. Respondent