Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between William H. Rogers Case No. 99-05581 Hearing Site- Nashville, Teimessce Morgan Keegan & Company, hic: and Dean Paugh Claimant William H. Rogers ("Rogers") was represented by J. Timothy Francis, Esq., located in Birmingham, Alabama. Respondents Morgan Keegan & Company, Inc. ("Morgan Keegan"') and Dean Paugh ("Paugh") were represented by Niel Prosser. Esq. of Morgan Ke

Amended and Stipulated Award NASD DISPUTE RESOLUTION In the Matter of the Arbitration Between: Name of the Claimanl Case Number: 99-05579 Frances Dixon Names of the Respondents Morgan Stanley Dean Witter, Inc. Bruce Norwood Patton Hearing Site: New Orleans, LA Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Frances Dixon, hereinafter referred lo as "Claimant": Steele T. Williams, Esq., Beck

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert D. Cook and Robert D. Cook IRA Rollover, Claimants and Biltmore Securities, Inc., FAS Wealth Management Services, Inc., Jeffery Shneider and JB Oxford & Co., Respondents Case Number: 99-03927 Hearing Site: Houston , Texas REPRESENTATION OF PARTIES Claimant Robert D. Cook ("Cook") and Robert D. Cook IRA Rollover ("Cook IRA"), hereinafter collectively referred to

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edward Bloomberg, Todd Oppenheimer and Raco Enterprises MP Plan, Claimants vs. Kahn Brothers & Company, Inc. and Lewco Securities Corp., Respondents. Case Number: 99-05577 Hearing Site: San Francisco. Califomia REPRESENTATION OF PARTIES Claimants, Edward Bloomberg, Todd Oppenheimer and Raco Enterprises MP Plan, hereinafter referred to as "Claimants": Reed H. Bement, Esq., Law

Award NASD Dispute Resolution in Uie Matter ot tne Arbitration I5etween: Name of the Claimant Ed Angelo, Trustee of the Ed Angelo Trust Case Number: 99-05572 (Consolidated with Case Number: 00-00401) Names of the Respondents Prudential Securities, Inc. George Kakouris Boca Raton, Florida In the Matter of the Arbitration Between: Name of the Claimant Henry Angelo, Trustee of the Henry Angelo Trust Case Number: 00-00401

aupuiaieu Award NASD Dispute Resolutioiiy be. Ia the Miner of tbe Arbiuaiion Between First Liberty Investment Group, Inc. CaseNo. 99-0SS69 Blake 0. Lane REgRESENTATION OF PARTIES Clainaat, FSxst-Libeny Investment Group, Inc. ("First Liberty"): Lcuis Acre. Esq., Attomey at Law. Philadelplua» PA Respomlenc. Blake C. Lane ("Lane"): pro se, Philadelphia. PA. Staionenc of Claim filed on or about: December 19, 1999. Claimabi. First Libera, signed

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05557 Melvin Seymour Mann and Adele Mann, TREES FBO Melvin Seymour Mann and Adele Mann Fam TR did 6/12/87. claimants vs. Paul Lingenfelter, respondeni ATTORNEYS: Claimant appeared Pro Se through its trustee, Melvin Seymour Mann, Newport Beach, FL. Respondent Paul Lingenfelter, appeared Pro Se, Newport Beach, FL. DATE FILED: December 13, 1999 CASE SUMMARY: Claimants alleged responde

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-05549 Barbara Carullo and Grace Capulo, claimants vs. Vincent D. Peirosini, Jr., respondeni. ATTORNEYS: For claimants Barbara Carullo and Grace Capulo, Charles W. Austin, Jr., Esq., Richmond, VA. Respondeni Vincent Dominic Peirosini, Jr., appeared Pro Se. DATE FILED: December 13, 1999 CASE SUMMARY: Claimants alleged that respondent recommended investment in Pilgrim Adjustable Rate

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Canino Construction, Inc. Case No. 99-03924 Names of Respondents Preston Langley Asset Management, Inc. John J. Whitley Brian Paul Carroll Nathaniel Ian Shapinsky Robert William Lisnoff, Jr. Gregg Adams Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Canino Construction, Inc. ("Canino") hereinafter referred to as "Claimant

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants James E. Elbaor, M.D., Individually and as Trustee of the James E. Elbaor Retirement Trust and Edward Elbaor, Individually and as Trustee of the Edward and Edna Elbaor Limited Partnership # 2 and the Elbaor Children Trust Partnership and 99-05532 Dallas, Texas Names of Respondents Bear Steams Securities Corporation, Michael F. Girimonte,