NASD REGULATION,' INC. AWARD In the Matter of the Arbitration Between Name of Claimant Alvin Newman Case No. vs. 97-03319 Names of Respondents IDS Life Insurance Company American Express Financial Advisors, Inc. Michael Paolucci REPRESENTATION For Claimant Alvin Newman ("Claimant") appeared George W. Klein, Esq., a private practitioner with offices located in Forest Hills, New York. For Respondents IDS Life Insurance Company ("IDS"),

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Hurt Bromberg, (Claimant) vs. Kensington Wells Incorporated, George Christopher Tsiorvas and Rob Alexander, (Respondents) Case Number: 97-03316 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Burt Bromberg, hereinafter referred to as "Claimant": Adam B. Cohen, Esq., Boca Raton, FL. Respondent, Kensington Wells Incorporated ("Kensington") filed for bankruptcy prior t

12.1999 5:29PM NflSD BOCR / NO.B55 p.2 NflSD BOCfl t. ,1 AWAJ& NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Verna Resetar NASD CASE NO. 97-03313 Names of Respondents L.T. Lawrence & Co., Inc.,. Kenneth Richard Ash, Lawrence Principato and Todd Edward Robert REPRESENTATION For Claimant: W. Andrew Claytoa, Jr., Esq. of The Clayton Law Firm, P.A., Sarasbta^ Florida, For Respondent L.t.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Earl Hornberger, Claimant v. Vadim Mostovoy and Security Capital Trading, Inc., Respondents Case Number: 00-02086 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Earl Hornberger San Ramon, California For Respondents: Martin S. Siegel, Esq. Berlack, Israels & Liberman LLP New York, New York CASE INFORMATION Statement of Claim file

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Daniel M. Weltering 97-03310 Name of Respondent James W. Garofalo, Jr. REPRESENTATION Daniel M. Weltering ("Claimant") represented himself. Respondent James W. Garofalo, Jr. ("Respondent") did not appear. CASE INFORMATION Statement of Claim filed: July 1, 1997 Claimant's Submission Agreement signed on: June 30, 1997

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Ted Bradshaw and The Bradshaw Family Limited Partnership v. Arbitration No 97-0330? Name of Respondents Securities Service Network, Inc., Kevin Pilot and Phoenix Capital Management REPRESENTATION For Claimants: David Liebrader, Esq. The Law Office of David Liebrader Newport Beach, California For Respondents Kev

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Robert K. Stainbrook and CastmasterMfg.. Corp. and 97-03300 Name of Respondents Prudential Securities, Inc. Steven Donate Christopher Pendell REPRESENTATION OF PARTIES Robert K. Stainbrook and Castmaster Mfg. Corp. ("Claimants") were represented by Michael J. O'Reilly, Esq., Columbus, Ohio. Prudential Securities, Inc. ("Respondent Prudential") and Steve

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant George T. Nahass and 97-03299 Name of Respondents Sterling Foster & Company, Inc., Adam R. Lieberman, Timothy J. Matthews, and Robert Pratt REPRESENTATION OF PARTIES George T. Nahass ("Claimant") was represented by Rochelle S. Hall, Esq., St. Louis, Missouri. Sterling Foster & Company, Inc. ("SFC"),

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Kirko Mickovski, Craig Sizemore, Cut-Rite E.D.M., Inc., and John G. Loudon, Claimants. v. No. 97-03297 Sterling Foster & Co., Inc.. Craig L. Martin. Adam R, Lieberman. Craig L. Kellerman, Frank Monroig, John Doe using an alias of "John Stamberg", and Patterson Travis, Inc., Respondents. REPRESENTATION OF PARTIES Claimants Kirko M

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Charles Vincent Donahue (Claimant) v. PNC Investments (Respondent) Case Number: 06-03331 Hearing Site: Philadelphia, Pennsylvania Nature of the Dispute: Associated Person v. Member. REPRESENTATION OF PARTIES Claimant Charles Vincent Donahue hereinafter referred to as "Claimant" appeared pro se. Respondent PNC Investments hereinafter referred to as "Respondent": Brian A. Carils,