Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sutro & Co., Inc., Claimant v. Wendy Feldman, Respondent Wendy Feldman, Counter-Claimant v. Sutro & Co., Inc., Counter-Respondent Wendy Feldman, Third-Paity Claimant v. James Guillou, Third-Paity Respondent Case Number: 98-02931 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Sutro & Co., Inc. Gilbert R. Serota, Esq. and Third-Party Respondent

Award NASD Regulation, Lac. In the Matter of the Arbitration Between Robert L. Boozet Case No. 98-02927 Nayn^ n^ Resmndents Kevin Maldonado Rodney Brandon May, Davis Group, Inc. REPRESENTATION OF PARTIES For Claimant: Michael Richards, Esq. and Frank L. Watson, m, Esq. of Bater, Donelson, Bearman & Caldwell, Memphis, TN. For Respondent May, Davis Group, Inc. ("May Davis"): Adam L. Goldberg, Esq. of May, Davis Group, Inc., New York. N

AWARD NASD Regnlalton, Inc. Office of Dispute Resoiudon In the Matter of ttw Azbtttatwn Between Dean Witter Reynolds Inc. NASD CASE NO. 97^199 NameofRMPOiHteiit Gerard Buns, Jr. maniBifiKNTATION For GJaimant: Anne Tennant Coooey, Esq. of Steel Hector & Davis, LLP, West Palm Beach, Ftorlda. Respondent Gerard Bums, Jr. CBums") did not make an appearance in this xoatter. CASE INFOm^flON Statemnt of Claim filed on June 27,1997. Claimaot's Submis

Award NASD In the Matter of the Arbitration Between: Names of the Claimants: Neil Florin and Marney Florin Names of the Respondents: Salomon Smith Barney, Inc. and Jeffrey Kolodin Case Number: 01-04194 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Neil Florin and Marney Florin, hereinafter collectively referred to as "Claimants": Darren C. Blum, Esq., Law Offices of Darren C. Blum, P.A., Plantation, Florida. For Salomon

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William C. Seeger and 1100 Corporation, (Claimants) vs. Everen Securities, Inc. and Ronald Steimle, (Respondents). C^se Number: 98-2926 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimants, William C. Seeger ("Seeger"), and 1100 Corporation ("1100") hereinafter collectively referred to as "Claimants": James J. Eccleston, Esq., Eccleston & Associates, Chicago, Illinoi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-02923 Charles Schwab & Co., Inc., claimant vs. Frank Rubba. respondent. ATTORNEYS: For Claimant Charles Schwab & Co., Inc., ("Claimant"), appeared Linda A. Gallagher, Esq., of the firm. Gomberg Kane & Fischer. Ltd.. Chicago, Illinois. Respondent Frank Rubba ("Respondent"), did not respond to the Statement of Claim. DATE HLED: 08/12/1998 CASE SUMMARY: Claim

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Edward B. Silberman, Money Purchase Pension Plan and Edward B. Silberman and 98-02913 Name of Respondents R. J. Steichen & Company Victor Greenstein nON OF PARTIES Edward B. Silberman, Money Purchase Pension Plan and Edward B. Silberman ("Claimants") were represented by Leny K. Wallen-Friedman, Esq., Wallen-Friedman Law Office, Miimeapolis, Minneso

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Michael H. Thomas and 98-02908 Name of Respondent Prudential Securities, Inc. C. Granger McKinney REPRESENTATION OF PARTIES Michael H. Thomas ("Claimant") was represented by Philip A. Brown, Esq., Vorys, Sater, Seymour and Pease, LLP, Columbus, Ohio. Prudential Securities, Inc. ("Respondent Prudential") and C. Granger McKinney ("Respondent McKinney"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Pamela Ricken and Ralph Avigliano. (Claimants) vs. Roger H. Erichsen and Smith Barney, (Respondents) Case Number: 98-02906 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimants, Pamela Ricken ("Ricken") and Ralph Avigliano ("Avigliano"), hereinafter collectively r6ferred to as "Claimants": Samuel J. Landau, Esq., New York, NY. Respondents, Roger H. Erichsen ("Erichsen") a

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Targol Anvarinijad vs. TO Waterhouse Investor Services, Inc. and Kenneth C. Williams Case Number: 01-04191 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: In propria persona Irvine, California For Respondents: William M. Turner, Esq. Jones, Bell, Abbot, Fleming & Fitzgerald Los Angeles, California CASE INFORMATION Statement of Claim