Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steve Powers, Powers Family Tmst, and PLR, Inc., Claimants v. Bear Steams & Co., Respondent Case Number: 99-05697 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: For Respondent: Fred Rucker, Esq. Law Offices of Fred Rucker Los Angeles, Califomia Michael Gless, Esq. Keesal, Young & Logan Long Beach, Califomia CASE IN

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kevin Waite, Claimant v. Discover Brokerage Direct, hic. (a.k.a. Morgan Stanley Dean Witter Online, Inc.), Respondent and related Counterclaimant, and Dean Galvin, and James Oerther, Respondents Case Number: 99-05695 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: For Respondents: Kevin Waite In Pro Per • Murrieta, Califomia

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05687 Charles H. Jones, claimant vs. Jack White & Company, Inc., respondent. ATTORNEYS: Claimant Charles H. Jones ("Claimant"), appeared Pro Se., La Jolla, CA. For Respondent Jack White & Company n/k/a TD Waterhouse ("Respondent"), Maria J. Seedner, Compliance Counsel, San Diego, CA. DATE FILED: 12/21/1999 CASE SUMMARY: Claimant maintained that on April 22

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05685 Dennis G. Roberts, claimant vs. John V. DiCanio, respondent. ATTORNEYS: Claimant appeared Pro Se, San Antonio, TX. Respondent did not respond to the Statement of Claim. DATE FILED: December 23, 1999 CASE SUMMARY: Claimant alleged that respondent persuaded him to purchase into American Capital Securities IPO which never went public. Claim Data Award Data Claim: $5,000.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: David Silverman, Al Silverman, and Michael Silverman, (Claimants) vs. Win Capital Corp., Steven J. Bayern, Albert L. Barbara, and Barry L. Hawk (Respondents) Case Number: 99-05682 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, David Silverman ("D. Silverman"), A\ Silverman ("A. Silverman"), and Michael Silverman ("M. Silverman"), hereinafter collectively

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Peter V. Pirozzi Case No. 99-05679 Orion Financial Services, LLC James J. Doyle, Jr. Hearing T.nratif)n- Philadelphia, PA Claimant, Peter V. Pirozzi ("Pirozzi") hereinafter referred to as "Claimant": David Kraut, Esq., and Craig J. Fleischmann, Esq., Kraut, Harris, Maliszewski & Barlow, P.C, Blue Bell, Peimsylvania. Respondents Orion Financial Services, L

Award NASD Dispute Resolution, Inc. In die Matter of the Arbitration Between Name of Claimant Joseph Levinson Case No. 99-05674 Morgan Stanley Dean Witter, Inc. Jeff Paulsen REPRESENTATION OF PARTIES Joseph Levinson ("Levinson"), hereinafter also referred to as "Claimant" appeared QTO se. For Morgan Stanley Dean Witter, Inc. ("Dean Witter") and Jeff Paulsen ("Paulsen"), hereinafter collectively referred to as "Respondents": Bradford D. Kaufi

NA.S.D. REGULATION AWARD NATIONAL ASSOCUTION OF SECURITIES DEALERS mGVLmON, INC. CASE: 99-05667 Randy S. Wong and Kris K. Wong, claimants vs. Invesco Funds, respondent. ATTORNEYS: Claimants Randy S. and Kris K Wong ("Claimants"), appeared Pro Se., Honoluhi. HI. For Respondent Invesco Funds ("Respondent"), Tane T. I^ler, Assistant Vice President and Senior Staff Attorney, Invesco Funds, Denver, CO. DATE HLED: 12/21/1999 CASE SUMMARY: Claimants mainta

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Roach, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 99-05665 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimant: Ryan K. Bakhtiari, Esq. Aidikoff & Uhl Beverly Hills, Califomia For Respondent: Thomas V. Reichert, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, Califomia CASE INFORMATION Statementof Claim fil

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alex Farzami and Jennifer Farzami, Claimants v. Mohammad Sharifzadeh and Thomas F. White & Co., Inc., Respondents Case Number: 99-05627 Hearing Site: Los Angeles, Califomia REPRESENTATION OF PARTIES For Claimants: For Respondents: Alex Farzami and Jennifer Farzami In Pro Per Irvine, Califomia Michael Bolgatz, Esq. Thomas F. White & Co., Inc. San