Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Florence V. Carney and Blair Carney, (Claimants) vs. First Montauk Securities Corp., Peter Kaplan, Lawrence Barreca, and Richard Roger, (Respondents) Case Number: 98-04758 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Florence V. Carney ("F. Carney") and Blair Carney ("B. Carney"), hereinafter collectively referred to as "Claimants": Lawrence S. Brochin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patricia Ann Moore, Claimant v. Morgan Stanley DW Inc., Respondent Case Number: 01-03329 Hearing Site: Asheville, North Carolina REPRESENTATION OF PARTIES Patricia Ann Moore, hereinafter referred to as "Claimant", appeared pro se. For Morgan Stanley DW Inc., hereinafter referred to as "Respondent": Alan S. Brodherson, Esq., and Douglas Stone, Esq., in-house counsel for Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Karolina Kasparek, (Claimant) vs. Emmett A. Larkin Company Inc., U.S. Securities Clearing Corp., Kohn Herbert & Assoc, and Stephen A. Kohn, (Respondents) Case Number: 95-01615 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Karolina Kasparek, hereinafter referred to as "Claimant": Curt Muller, RA, Anwaltskanzlei Michael-Christian Ressner & Kollegen, Munich, Germany.

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Douglas & Rosemary Barry Claimant(s) vs. Brokers Capital Distribution Co. and Milton Kleinman Respondent(s) NOTICE OF ARBITRATION AWARD 89-00653 CASE SUMHART Claimant(s) Douglas & Rosemary Barry alleged that Respondent(s) Brokers Capital Distribution Co. and Milton Kleinman made an unauthorized transfer of funds resulting in loss. Respondent B

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between: DAVID M. RICHMAN, -and- Claimant, D. H. BLAIR & CO., INC., D.H. BLAIR INVESTMENT BANKING CORP., J. MORTON DAVIS, individually and as Chief Executive Officer of D.H. BLAIR INVESTMENT BANKING CORP., and KENTON E. WOOD, individually and as Chief Executive Officer of D. H. BLAIR & CO., INC., and JOHN UBALDO, Respondents. REPRESENTATION Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Roan/Meyers Associates, LP, (Claimant) vs. Joseph Schnaier, (Respondent) Case Number: 01-03328 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Roan/Meyers Associates, LP, hereinafter referred to as "Claimant": David Schrader, Esq., a sole practitioner, New York, NY. Previously represented by: Bruce Meyers, President, Roan/Meyers Associates, LP, New York, NY.

I NYSE New York Stock Exchange In the Matter of Arbitration Between Case: Harold R. Mardenborough v. Salomon Smith Barney Docket Number: 2003-011492 Attomeys: For Claiinant(s): Harold Mardenborough - Coral Gables, FL For Respondent(s): Aim Parry - New York, NY Date Filed: 2/28/2003 First Scheduled: 1/29/2004 Decided: 1/29/2004 Case Summary: Customer claimant alleges misrepresentation, failure to disclose material information

I NYSE New YorI( Stock Exchange In the Matter of Arbitration Between Case: Michael J. White v. Citigroup Global Market^ Inc. f/k/a Salomon Smith Barney Inc. Docket Number: 2003-014631 Attomeys: For Clainiant(s): Michael White - Manalapan, NJ For Respondent(s): Ann Parry - New York, NY Date Filed: 10/11/2003 First Scheduled: 01/22/2004 Decided: 02/16/2004 Case Summary: Claimant, a customer, alleged that respondent breadhed

I NYSE New Yoric Stock Exchange In tlie Matter of Arbitration Between Case: Scott E. Smith v Goldman Sachs & Company Docket Number: 2002-010341 Attomeys: For Claiinant(s): David Wechsler - New York, NY For Respondent(s): Ronald Colombo - New York, NY First Scheduled(wtW^ ^ A ^ ^ " ^ / / ^ "b Date Filed: 5/29/2002 Decided Case Summary: Registered representative for restricted stock allegedly due

•NYSE New Yorlc Stocic Excliange In tlie Matter of Arbitration Between Case: Sanford C. Bernstein & Co., LLC vs. Daiwa Securities America, Inc. and S.G. Cowen Securities Corp. vs. Schroder & Co., Inc. vs. Credit Agricole Indosuez Securities, Inc. vs. Dresdner Kleinwort Benson North America, vs. Instinet Corporation. Docket Number: 2000-008740 Attorneys: For Claimant(s): James Windels - New York, NY For Respondent(s): Joel Miller - New York, NY a