NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-01958 PaineWebber, Inc., claimant vs. Joseph Glickel, respondent. ATTORNEYS: For Claimant appeared Romaine L. Gardner, Esq., Staten Island, NY. Respondent appeared Pro Se, Marlton, NJ. DATE FILED: May 11, 2000 CASE SUMMARY: Claimant alleged respondent failed to pay a Supplemental Fee in accordance with his Premier Asset Account Agreement charged by the claimant when respondent

in* AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arbitration Between John R. Pilgreen. Claimant. v. No. 97-02002 James W. Garofalo, Jr., Respondent. REPRESENTATION OF PARTIES Claimant John R. Pilgreen ("Claimant") appeared pro se. Respondent James W, Garofalo. Jr. ("Respondent") appeared pro se. Respondent was previously represented by Eric Ross. Esq. Fischbein Badillo Wagner Harding located in New York,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE:97-01997 Beverly E. Dunham, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS; For claimant appeared F. Lamar Watson - Sarasota, FL. For respondent appeared David Weintraub - Boca Raton, FL. DATE FILED: 4/21/97 CASE SUMMARY: Claimant alleged misrepresentation, failure to disclose, et al. Claim Data Award Data Claim: $9,900.00 Award: $9,900.00

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Donald M.D. Thurber, as Trustee of the Donald M.D. Thurber Trust, Claimant, v. Gruntal & Co., L.L.C., and Robert D. Damigella, Respondents. No. 97-01996 REPRESENTATION OF PARTIES Claimant Donald M.D. Thurber, as Trustee of the Donald M.D. Thurber Trust ("Claimant") was represented by Laurence M. Scoville, Jr., Esq. and Charles G. Goedert

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01995 James T. Fox, claimant vs. Olde Discount Corporation and James Esposito. respondents. ATTORNEYS: Claimant appeared Pro Se, Palos Hills, IL. For Respondents appeared in-house counsel. Howard M. Kfausmeirer. Esq., Detroit, MI. DATE FILED: April 21, 1997. CASE SUMMARY: Claimant alleged that respondents purchased Integrated Device Technologies stock with

MflY. 4.1999 3(19PM NO.378 P.9 AWARD NASD Regulation, Inc. In the Matter of die Arbitration Between Arthur Kirschman Eric T. Fromme 97-01994 Comprehensive Capital Corp, Paul Deperino REPRESENTATION For Claimants Arthur Kirschman ("Kirschman") and Eric T. Fromme ("Fromme): Robert J. Winkki, Esq. of The Winlcki Law Finn, Jacksonville* Florida. For Respondent Comprehensive Capital Corp. ("Comprehensive 11 ); Howard N. Kahn, Esq.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01993 Mike R. and Brenda K. Carthel, claimants v. Jack E. Perry and Great American Financial Network, respondents. ATTORNEYS: Claimants appeared pro se - Plain view, TX. Respondent Jack E, Perry appeared pro se - Atlanta, GA. For respondent Great American Financial Network appeared Edward Bates - Norcross. GA. DATE FILED: 4/21/97 CASE SUMMARY: Claimant

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Names of Claimants Matthew Tan and Esther Tan v. Names of Respondents Stratum Oakmont, Inc., JB Oxford & Company, James Catalano, and Semos Gardner Arbitration No. 97-01989 REPRESENTATION For Claimants: AlwinS. M. Tan, Esq. Law Office of Alwin S. M. Tan Pasadena, California For Respondent Semos Gardner: Did Not Appear CA

OCT.S5.1998 4:59PM ISOSD REGULATION FL NO.651 P.28 L.' J NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Ctaimant National Securities Corporation Case No. 97-01987 Name of Respondent NickF. Morf REPRESENTATION OF PARTIES For Claimant National Securities Corporation ("NSC"): Ronald J. Lewittes, Esq. of the law firm of Carlson & Bales, PA, Miami, Florida Respondent Njck F. M

AWARD NASD Regulation, Inc. CASE: 97-01981 Michael L. Waldmarm, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Coral Springs, FL. For respondent appeared Marcia Narine, Esq., - Miami, FL. DATE FILED: 4/18/97 CASE SUMMARY: Claimant alleged that respondent failed to transfer his account, failed to pay him overtime, failed to pay Claimant severance pay, failed to pay claimant's EIP Bonus,