BEFORE THE ARBITRATION BOARD OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration between NASD Arbitration No. 95-03468 CS FIRST BOSTON CORPORATION, Claimant, STIPULATION SETTLING - against - ACTION AND AUTHOR- IZING ENTRY OF JUDGMENT STEVEN B. COHEN, IN THE EVENT OF DEFAULT Respondent. WHEREAS, claimant's statement of claim alleges damages in the amount of $20,837.08 exclusive of interest, costs,

N.A.S.D. STIPULATED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS la the Matter of the Arbitration Between NafiwofClaimanjs Harland and Donna Adams 95-01460 f Respondents Empire Financial Group, Inc. Paul D. Nicolinl Kevin Gagne REPRESENTATION For Claimants Harland and Donna Adams ("Adams' 1 ): Jerome H. Jaffa, Esq., Vienna, VA and John R. McDonough, Esq. of McDonough, O'Ddl, Beets, Wieland, Williams & Krakar, Orlando* PL.

N.A.S.D. MODIFIED AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Paul A. and Pauline A. Beaudry 95-01449 Name of Respondents Dean Witter Reynolds, Inc. Advest, Inc. Dean W. Gunter CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 23,1995, Claimants, Paul A. and Pauline A. Beaudry ("Claimants"), through their representative, J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTITF^ T^AJ.ERS. INC. In the mau.T of the Arbitration Between Name of Claimantfs^ Thaddeus T. Stanley and Barbara S. Stanley, Trustees of the Stanley Trust U/A Dated August 10, 1993; The Thaddeus T. Stanley and Barbara S. Stanley Trust Dated August 10, 1993. NASD Aibitration No. 95-01227 Name of Respondent(s) A. G. Edwards & Sons, Inc. For Claimant : Robert A. Uhl, Esq. and Philip Aidikoff, Esq.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS [n the Matter of the Arbitration Between Name of Claimants Joel Segal International Trust Co. of Bermuda Ltd. 95-01176 Name of Respondents Fahnestock & Co., Inc. Reich & Co., Inc. John D. Bradley Lester Rosenkrantz Richard W. Lee Arthur H. Goldberg Paul Chropuvka Albert Lowenthal REPRESENTATION For Claimant Joel Segal appeared Michael J. Malone and Stewart Klei

STIPULATED AWARD NASD Dispute Resolution, lac. In the Matter of the Arbitration Between Name of Claimant Morgan Keegan & Company, Inc. Case No. 00-03125 Name of Respondent James Michael O'Brien Hearing Site: Memphis, Tennessee REPRESENTATION OF PARTIES For Morgan Keegan & Company, Inc., hereinafter referred to as "Claimant": Michael K. Henry, Assistant General Counsel, Morgan Keegan & Company, Inc., Memphis, Tennessee. James Michael O'Br

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Denise Valentin! 95-05982 Name of Respondent Merrill Lynch Pierce Fenner & Smith, Inc. REPRESENTATION For Claimant Denise Valentini ("Valentini"): Paul J. McMahon, Esq. of Paul J. McMahon, P.A., Miami, Florida. • For Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ("Merrill Lynch"): John Kilkenny, Esq. of Merri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael and Nancy Sitrick Trust, Claimant v. The Boston Group, Inc., Respondent Case Number: 99-03521 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Rene P. Tatro, Esq. Tatro Coffino Zeavin Bloomgarden LLP Los Angeles, California For Respondent: Robert A. DiMinico National Securities Corporation Los Angeles, California CAS

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-01122 Patricia Rose Hausmann Name of the Respondent Hearing Site: Milwaukee, Wisconsin Salomon Smith Barney, Inc. and Willie G. Littel REPRESENTATION OF PARTIES Claimant Patricia Rose Hausmann ("Hausmann") was represented by C. Michael Hausmann, Esq., of the firm of C. Michael Hausmann and Associates, Ltd., located in Delafield, Wis

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Lawrence Levine and Impulse Wear, Inc. (Claimants) vs. UBS Financial Services, Inc. and Jody Gordon Scheiman (Respondents) Case Number: 06-02542 Hearing Site: Columbus, Ohio Nature of the Dispute: Customers vs. Member and Associated Person REPRESENTATION OF PARTIES Claimants Lawrence Levine ("Levine") and Impulse Wear, Inc. ("Impulse") hereinafter collectively referre