* Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mario Sofia, as Power of Attorney for Joseph Sofia Case No. 00-02522 gQj Merrill Lynch, Pierce, Fenner & Smith Inc. Vincent J. DeBow Hearing Site: Philadelphia, PA RFPRFSFNTATTON OF PARTTFS Claimant Mario Sofia, as Power of Attorney for Joseph Sofia ("Claimant"): Francis X. Nolan, Esq. of the law firm of Vaughan Duffy Connors, LLP, Exton, PA Respondents Merril

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Raymond B. Anderson, (Claimant) vs. Morgan Stanley Dean Witter & Co. and Dean Witter Reynolds Inc., (Respondents) Case Number: 00-00806 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Raymond B. Anderson ("Anderson"), hereinafter referred to as "Claimant": Richard C. Fooshee, Esq., New York, NY. Respondents, Morgan Stanley Dean Witter & Co. ("Morgan

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Charles Goldfarb and Goldfarb & Yastrab Financial Planners, a New York Partnership Case No. 96-04209 Name of Respondent Josephthal Lyon & Ross Inc. (n/k/a Josephthal & Co., Inc.) Name of Third Party Respondent Michael Yastrab Hearing Location: New York, New York REPRESENTATION OF PARTIES Claimants Charles Goldfarb and Goldfarb & Yastrab Fin

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Drake, (Claimant) vs. Cruttenden Roth, Inc., (Respondent). Case Number: 00-00639 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Charles Drake: Gary S. Lapidus, Esq. Law Offices of Gary S. Lapidus San Francisco, California. Cruttenden Roth, Inc.: John R. Loftus, Esq. Keesal Young & Logan Long Beach, California. CASE INFORMATION St

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-04144 Sara C. Keith, Claimant vs. Eric G. Hall, Respondent. ATTORNEYS: Claimant appeared Pro Se, DeFuniak Springs, FL. Respondent appeared Pro Se, Naples, FL. DATE FILED: September 21, 2000. CASE SUMMARY: Claimant alleged that Respondent breached his fiduciary duties by failing to properly manage Claimant's account. Claim Data Award Data Claim: $12,000.00 Award: $9,000.00

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claiman| Bertha Greenberg, et al 94-03424 Name of Respondents Smith Barney, Inc. Beatrice Albrecht CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 25, 1994, Claimant, Bertha Greenberg through her representative, Harry Chernoff of Great Falls, VA. alleged that Respondents, Smith Barne

NAS6 DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 99-03506 Terry Schneider, claimant vs. Muriel Siebert & Co., Inc., respondent. ATTORNEYS: Claimant, Terry Schneider, ("Claimant"), appeared Pro Se., Dobbs Ferry, NY. Respondent, Muriel Siebert & Co., Inc. ("Respondent"), appeared through its Vice President, Ronald R. Bono, New York, NY. DATE FILED: July 30, 1999 CASE SUMMARY: Claimant alleged that on April 14, 1999, he entered three o

NASD Arbitration No. 92-01656 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Maurice and Edna Silver, Trustees Name of Respondent(s) Shearson Lehman Brothers, Inc. David Davis REPRESENTATION For Claimants: Robert Roth, Investors Arbitration Services, Woodland Hills, California For Respondents: Robert B. Ericson, Esq., Keesal, Young & Logan, Long Beach, Califo

N.A.S.D. AWARD NMTQNRL ASSCdaTION OF SECURITIES DEALERS Xn~the Matter of 'the Arbitration Between of Tte Rufus F. Ortega & H. Marietta Ortega Living Trust vs. NASD #91-03420 Mama of Ragpgndfnta Wealth Resource Capital, Inc. John Daniel Coll Dan Sooney John Preebcrn For Claimant: Robert A. Graham, Jr., Esq., Arcadia, California For Respondents Wealth Resource Capital and John Daniel Coll: John Dmtnl Con For Respondent Dan Roon

HJLSJD. Cf SBQKET3ZS of t±» Azfcdtzatlai Itolber R. at at Iteltar E. Sptda, Jr. 91-02978 ^ IDC. Irving x. For Claimant Batata of Walter R. Sparks, Jr. ("Claimant"): Maurice Y. Praia, Jr. of the law fixn of Cola and Cola, P.C. Bbr Sbearacn Labman. Brothers, lac., X. Una dark and Irving B. ("Baapondenta") i David C. Prancaeld., Jr. of the law firm of Stradlay, Stevena ft Young Statement of Claim filed: 24, 1391