Award NASD Dispute Resolution In die Miotter of the AibiDratioh Between: >j.iii^.rfth..rn*.ttnatit r,«^Niimhir 02-05352 Mary Day Mami» nf rii« PftaprmfenTa Hi.jring Sitmr W*Ai igtnn. DC UBS PaineWebber, Inc. n/k/a UBS Financial Services, &ic MaikB.5utian David W.Kxaft SievenF.Warch Ann Maile Gracie-Wardi Eugene A. Meyer JogqphOranoi Ts- > . •• . ,»» Namce of die Dispute: Customer vs. Member and Associated Persons. gwpipP..gw»aTAT

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04162 Claude H. Wolfe, Jr., claimant v. Michael A. Boston, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se - Orlando, FL. For Respondent Respondent did not respond to the Statement of Claim DATE FILED: 9/18/96 CASE SUMMARY: Claimant alleged unauthorized trading of stock and churning of account. Claim Data Award Data Claim: $5,509.1

Modified Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dresdner Kleinwort Benson North America LLC and Dresdner Bank AG, (Claimants) vs. Bemhard B. Porzig, (Respondent) Case Number: 98-04632 Hearing Site: New York, New York Member and Non-Member v. Associated Person. REPRESENTATION OF PARTIES Claimants, Dresdner Kleinwort Benson North America LLC ("Dresdner LLC") and Dresdner Bank AG ("Dresdner Bank"), hereinafter collectiv

AWARD NASD Regulation, Inc. CASE: 98-03998 GKN Securities Corp.. claimant vs. Thomas Scurlock. respondent. ATTORNEYS: For claimant appeared. Director of Litigation. Katherine Nathan, New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: October 27. 1998 CASE SUMMARY: Claimant alleged that respondent failed to pay the balance due on the Promissory Note and Association Agreement. Claim Data Award Data Claim: $4,448.54

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-03817 Lillian C. McNair, Individually, and as Trustee for the McNair Family Trust Account, claimant vs. Dean Witter Reynolds, Inc., and Daniel A. Petit, respondents. ATTORNEYS: For Claimant Lillian C. McNair, Individually, and as Trustee for the McNair Family Trust Account ("Claimant"), S. Andrew Scharfenberg, Ogletree, Deakins, Nash, Smoak & Stewart, P.C., Bi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Alan Kirk Parker NASD Case No. 98-03994 Hearing Site: Charlotte, North Carolina Names of Respondents Global Equities Group, Inc. Michael Christ Vadim Zeltser REPRESENTATION OF PARTIES Claimant Alan Kirk Parker, hereinafter referred to as "Claimant", appeared pro se until August 31, 1999. Thereafter, John F. Hantzel, Esq. of John F. Hantzel, P.A., Co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Peter Forchheimer and Marianne Forchheimer, as Co-Trustees of the Forchheimer California Trust Case No. 98-03987 Names of Respondents Prudential Securities, Inc. Albert C. Adam REPRESENTATION OF PARTIES For Claimants Peter Forchheimer and Marianne Forchheimer, as Co-Trustees of the Forchheimer Califomia Trust hereinafter referred to as "Claimants": J.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Eldora Hofvander (Claimant) vs. Bear Stearns Securities Corporation, Simon Chong, Peter In Cho, Timothy Reed Etter, John Dawson & Associates (Respondents). Case Number: 98-03986 Hearino Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Eldora Hofvander, ("Hofvander"): Michael H. Moriano, Esq., Nissen & Elliott, Chicago, Illinois. Respondent Bear Stearns Securities Cor

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Gallant, (Claimant) vs. Spear, Leeds & Kellogg, (Respondent) Case Number: 98-03979 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Robert Gallant, hereinafter referred to as "Claimant": Lawrence S. Leibowitz, Esq., Wexler & Burkhart, P.C, Mitchel Field, NY. Previously represented by: Randy Scott Zelin, Esq., Blodnick, Gordon, Blodnick & Zelin, Jericho, NY.

AWARD NASD Regulation, Inc. In die Matter of the Arbitration Between Name of Claimant Harold Todd Names of Respondents Gleim Michael Financial, Incorporated Attila Dennis Sary 98-03978 REPRESENTATION For Claimant: Darren C. Blum, Esq. of Philip J. Feldman & Associates, P.A., Miami, FL. For Respondent Glenn Michael Financial, Incorporated ("GMF"): Lawrence R. Gelber, Esq., New York, NY. Respondent Attila Dennis Sary ("Sary") did not a