NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Roderick Cooke 97-01028 Names of Respondents Toluca Pacific Securities Corporation Robert Calavetta Bill Joseph REPRESENTATION For claimant Roderick Cooke ("claimant") appeared Donald Chase, Esq. of the law offices Morrison, Cohen, Singer & Weinstein, LLP located in New York, New York. Respondent Robert S. Calavetta ("Calavetta") appeared pro se.

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Michael Berne 97-01024 Name nf peSDOfldentS State Street Capita] Markets Corporation Greg Templeton For Claimant Michael Berne ("Claimant"), appeared Richard J. Blumberg, Esq., of the law firm, McLaughlin and Stern, LLP, located in New York City, New York. Respondent State Street Capital Markets Corp-CSSCM") failed to appear.

9. 1998 3:00PM HPSD REGULATION FL Nrt -00 c , ' .'-.'. iZ.O'3 ""'. -4 '' 1 c> N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name _of Claimant Larry Roberts 97-01022 Names of Respondents Dear Witter Reynolds, Inc. Brian M, Smith REPRESENTATION For Claimant; J. Michael Bishop, Esq. and Brian N, Smiley, Esq. of the law firm of Page &. Bacek, Atlanta, Georgia. For R

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION^INC. CASE: 97-01018 George Stark, claimant v. A.S. Goldmen & Company, Inc. and Anthony Almeida, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Chicago, IL. For Respondent A.S. Goldmen £: Company, Inc. appeared Carol R. Bernstein, Esq. - Norwalk, CT. Respondent Anthony Almeida appeared pro se - New York, NY. DATE FILED: 2/26/97 CASE SUMMARY: C

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01017 Gregory C. Grapsas, claimant vs. Scottsdale Securities, respondent. ATTORNEYS: Claimant appeared Pro Se - Olney, MD. For Respondent appeared Compliance Manager, Mark Finnegan, St. Louis, MO. DATE FILED: February 26, 1997. CASE SUMMARY: Claimant alleged that respondent failed to execute a sell order for his shares of Centennial Technologies. Claim

02 20 9* FR1 11:28 FAX NASD REGULATION AWARD NASD Regulation., Inc. Office of Dispute Resolution In the Matter of Arbitration Between June W. Mattingly, Individually, and as Trustee of the June W. Mattingly Trust, the June W. Baker Trust, and the Robert H. Wineburgh Trust, Claimant, and Ho. 97-01013 Schroder Wertheim & Co., Inc., and Robert B, Peck, Respondents. REPRESENTATION OF PARTIES Claimants, June W. Mattingly, Individually

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael Levy, as Executor of the Estate of Jack Levy, Deceased Names of Respondents Gruntal & Co., LX.C. National Securities Corporation A.S. Goldmen & Company, Inc. Eric Martin Rand Commonwealth Associates The Boston Group, L.P. Names of Third Party Respondents Donna Cohen Jared Levy Case No. 00-01819 Hearing Site: Boca Rato

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name Bradley Louis Kingma and 97-01010 Name of Respondent Greenway Capital Corporation Jack Robert Basile Joseph Tarulli REPRESENTATION OF PARTIES Bradley Louis Kingma ("Claimant") appeared pro se. Greenway Capital Corporation ("Respondent Greenway") did not appear at the hearing. Jack Robert Basile ("Respondent Basile") did not appear a

DEC.15.1998 9:23OT NASD REGULATION F|_ W.3V5 P.33 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Helen DC rtatelli The Helen Donatelli M.D. S.C, Pension Trust Case No. 97-01008 of Respondent Prudential Securities, Inc. REPRESENTATION OF Pf RTiES For Claimants: Guy K. Stewart, Jr., Esq. of the law firm of Ferrell & Fertel, PA, Miami, Florida. For Respondent Prudenti

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Skypath Sports & Entertainment Communications Corporation 97-01007 Name of Respondent PCM Securities, LTD, L.P. REPRESENTATION For Claimant Skypath Sports & Entertainment Communications Corporation ("Sfcypath"): Jim Scutti, Esq. of Boca Raton, Florida. For Respondent PCM Securities, Ltd, L.P. ("PCM"): Elliott Gayer, Dir