NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Henry B. Jacobsen and Use Jacobsen Claimant(s) NOTICE OF ARBITRATION VS. 1 AHARD 90-01105 Blinder, Robinson & Co., Inc. Respondent(s) CASE SUMMARY Claimant(8) Henry B. Jacobsen and Use Jacobsen alleged that Reapondent(s) Blinder, Robinson & Co., Inc. engaged in misrepresentation. Respondent(s) maintain that it acted properly at all times. RELI

Award NASD In the Matter or the Arbitration JBetween: Name of the Claimant Case Number: 01-05041 Sterling Financial Investment Group, Inc, Names of the Respondents Hearing Site: Boca Raton, Florida vFinance Investments, Inc. Michael Kraft Mickey Dubberly Jaret Brietstein REPRESENTATION OF PARTIES For Sterling Financial Investment Group, Inc., hereinafter referred to as "Claimant": Curtis Carlson, Esq., Payton & Carlson, PA., Miami, Flori

N.A.S.D. AHASD NATIONAI' ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Patricia Kennedy Balloun No. 90-01398 Name of Reapondent(a) Dain Bosworth Incorporated Fred D. Shaw, Jr. RBERBSBinATION OF PARTIES For ClaimcUit: Dianne A. Nygaard, Esq. For Respondents: Paul B. Klaas, Esq. CASB IMFORMaTIOMr Statement of Claim filed: on or about May 15, 1990. Claimauit's Submission Agreement sig

Amended Award NASD Dispute Resolution In the Matter of the Arbitration Between: I Names ofthe Claimants Case Number: 02-07354 Daniel KlibanofF Robert Frapchia David J. Moulder Russell Rahm Managemejnt Associates Info Direct, Inc. ,N&J Marketing, Inc. Viking Magazine Service, Inc. Names ofthe Respondents Hearing Site: New Orleans, Louisiana Michael Adam Lichtenstein Alan Goddard Sands Brothers & Co., Ltd. Nature of the

NASD DLSPUTE RESOLUTION AWARD NASD DISPl TK RESOLUTION. I.NC. CASH: 00-04044 John K. Foisdii. Claimant vs. .National Discount Brokers, Respondent. ArTORNEYS: Claimant. Jolin K. Folson. ('Claimant"), appeared Pro Se.. College Park. GA. Respondent. National Discount Brokers. ("Respondent") appeared through its Compliance Manager. Richard Cadigan, Jersey City. NJ. D/.TF, FILED: November 7. 2000 CASE SUMMARY: Claimant alleged that Respondent was neglige

NASD Dispute Resolution, Inc. In the Maner of tbe Arbiuation Between Name (^f Claimani John C. Tompkins Case No. 99-03432 Name of Resoondcni BT Alex. Brown Incorporated, a/k/a DB Alex. Brown LLC Hearing Location: Baltimore, MD mePRESENTATIQ^ Of PARTH^ Claimant, John C. Tompkins ("Tompkins"): John H. West, IH, Esq., West & Moore, LLC Baltimore, MD. Respondem. Alex. Brown & Sons Incorporated ("Alex. Brown"): Thomas P. Lloyd, Esq., BT A

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kenneth Holmen and 99-02272 Minneapolis, Minnesota Name of Respondents Gmntal & Co., L.L.C. Robert P. Krackow Erik B. Walsh Phillip R. Semenick Kimon P. Timon Steve Brennan REPRESENTATION OF PARTIES Kenneth Holmen ("Claimant") appeared pro se. Gmntal & Co., L.L.C. ("Respondent Gruntal"), Robert P. Krackow ("Respondent Krackow"),

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03026 Olde Discount Corporation, claimant vs. Murray Brian Paul, respondent. ATTORNEYS: For Claimant Olde Discount Corporation ("Claimant"), Aaron L. Kleid, Esq., Olde Discount Corporation, Detroit, MI. Respondent Murray Brian Paul ("Respondent"), did not respond to Claimant's Statement of Claim. DATE FILED: July 2, 1999 CASE SUMMARY: Claimant alleged

Award NASI) Re};ulation, Inc. In the Mailer of llie .Arbitration lielween: Laborers" International l^nion of North America Local Union 270, Claimant vs. Bear, Stearns & Co., Inc., CIBC Oppenheimer Coiporation and Anthony Armijo, Respondents. Case Number: 99-02158 Hearing Site: San Francisco. CA REPRESKM A riON OF PARTIES Claimant, Uaborers" International Union of North America Local Union 270 (hereinafter referred lo as "Claimant"'): ,Iohn W. Barnes, Es

Award NASD Dispute Resolution In the Matter ofthe Arbitration Between: Regency Outdoor Advertising, Inc., Regency Outdoor Advertising, Inc. PSP, Brian Kennedy, and Drake Kennedy, Claimants v. Bear Steams & Co., Inc., Bear Steams Securities Corp., Andrew Haas, James M. Hubbert, Joseph C. Leach, and Scott Leach, Respondents Case Number: 99-01985 Hearing Site: Los Angeles, Califomia Nature ofthe Dispute: Customers v. Members and Associated Persons REPRESEN