AWARD NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION' In the matter of the Arbitration Between Name of Claimam Scott A, Hartmann Name of Respondents La Crois. Alexander and Tim Garson Arbitration No. 97-01100 REPRESENTATION For Claimant: For Respondents CASE INFORMATION Statement ot" Claim filed: Claimant's Submission Agreement signed: Joint Statement of Answer filed by Respondents: Respondents" Submission Agreements

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01099 William Campbell and Sally Campbell, claimants vs. Nationwide Securities Corporation and Thomas Gucciardo, respondents. ATTORNEYS: Claimants appeared Pro Se, Hyde Park, NY. Respondent Nationwide Securities Corporation did not respond to the Statement of Claim. Respondent Thomas Gucciardo appeared Pro Se, Garden City, NY. DATE FILED: March 4, 1997.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01837 Dennis G. Roberts, Claimant vs. Steven J. Popkin, Respondent, ATTORNEYS: Claimant, Dennis G. Roberts, ("Claimant"), appeared Pro Se., San Antonio, TX. Respondent Steven J. Popkin ("Respondent"), did not respond to the Statement of Claim. DATE FILED: May 2, 2000 CASE SUMMARY: Claimant alleged that Respondent through fraud and misrepresentation, induced him to invest in a pre-I

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Steven Braidman Custodian for Jonathan Braidman Steven Braidman Custodian for Michael Braidman Steven Braidman Custodian for Scott Braidman Steven Braidman Custodian for Marcy Lynn Braidman Steven D. Braidman Revocable Trust Susan Ruiz Custodian for Samantha Ruiz May D. Braidman 97-01096 Names of Respondents Smith Bar

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Kevin W. Martin vs. Case No. 97-01093 Name of Respondents Bear Stearns & Company Alan Morehouse Mario Rodriquez Adam R. Liebeiman Frank J. Monroig Bear Stearns Securities Corp. REPRESENTATION OF PARTIES Claimant, Kevin W. Martin, hereinafter referred to as "Claimant": Jonathan H. Colman, Esq., Paoli, Pennsylvania Respondents, Bear Stearn

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Rosemary M. Deibler Karl H. Deibler 97-01091 Name of Respondents Prudential Securities, Inc. Scott Izenberg REPRESENTATION Claimants Rosemary and Karl Deibler ("Claimants") were represented by John E. MacDonald, Esq., Stark & Stark, Lawrenceville, NJ. Respondent Prudential Securities, Inc. (

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Irma Chevalier Case No. 97-01090 Names of Respondents Dean Witter Reynolds, Inc. and Susan Chavez REPRESENTATION OF PARTIES For Claimant: John R. Kiefner, Jr., Esq. of the law firm of Riden, Earle & Kiefner, P.A., St. Petersburg, Florida. For Respondents: Michelle Bryan Oroschakoff, Esq. of Dean Witter Reynolds, Inc., San Franci

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joseph J. ;md Maureen Lasek 95-06032 Name of Respondent. Vision Investment Group, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on December 27, 1995, Claimants Joseph J. and Maureen Lasek ("Claimants"), who appeared Pro Se, alleged that Respondent Vision Investment Group

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Michael D'Angelo 97-01087 Name of Respondents st§j & Co: ~. £ illiam Scutch ^ Joseph Vennera REPRESENTATION For Claimant Michael D'Angelo ("Claimant") appeared Richard DeVita, Esq., a sole practitioner with offices located in Hoboken, New Jersey. For Respondent Sterling Foster & Co, ("Sterling") appeared Joseph D'Elia, Esq., a sole practitioner

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Selwyn Dusheiko NASD CASE NO. 97-01086 Name of Respondent John Hancock Mutual Life Insurance Company REPRESENTATION For Claimant: Elihu H. Berman, Esq. of Elihu H. Herman, P. A., Clearwater, Florida. For Respondent: Dennis P. Waggoner, Esq. of Hill, Ward & Henderson, P.A., Tampa, Florida. CASE INFORMATION Statement