Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marc Conte, (Claimant) vs. Alex N. Cherepakhov, Richard Donlon O'Reilly, Karol Kolouszek, Danny Jay Levine, George Bernard Levine, Ernest Anthony Caravello, Jr., Linda Garbutt, Frank J. Argenziano, and Paragon Capital Corporation, (Respondents) Case Number: 97-03590 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Marc Conte, hereinafter referred to as "Claimant" appeared

AWARD NASD REGULATION, INC, In the Matter of the Arbitration Between Name of Claimant Linda Schwarz Case Number and 97-03114 Name of Respondent Gilford Securities, Inc. REPRESENTATION OF PARTIES For Linda Schwarz ("Claimant") appeared Martin J. Siegel, Esq., a sole practioner located in New York, New York. For Gilford Securities, Inc. ("Respondent") appeared Joel Levinson, Esq., of Gilford Securities, Inc., located in New York, New Y

Amended Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 03-06905 Thomas Beare Phyllis Beare Names of the Respondents Hearing Site: Boca Raton, Florida Advest, Inc. Malcolm Jay Berko Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Thomas Beare and Phyllis Beare, hereinafter collectively referred to as "Claimants": Scott Silve

Stipulated Award NASD Disp ute Resolution In the Matter of the Arbitration Between: Claimant The Estate of Nancy Jo Daily v. Hearing Site: Detroit, Michigan Respondents Case Number: 02-04559 Merrill Lynch, Pierce, Fenner & Smith, Incorporated, Elaine C. Tiemey, Lawrence R, Sailer, American Wealth Management and Thomas C. Giordano NATURE OF CASE Customer v. Member and Associated Persons O PARTIS Claimant, The Estate of Nancy Jo Daily,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Kinuye Muraki/ Kinuye Muraki & Joyce Makishima CONSOLIDATED AWARD vs. N*», , NASD £91-02666.> Name of Respondent Sutro and Company, Inc. For Claimants: Jeffrey M. Jones, Esq., Law Office of Archibald M. Mull, m, Sacramento, California For Respondents: Gerald W. Palmer, Esq., and Daniel D. McMillan, Esq., Jo

N.A..S.D. AMRRD NAUCMAL ASSOCXXncxi OF SECD8XT1ES la the Matter of tha Arbitration Betweax I. laVoa Buckley v. 91-02635 Regcandegt/Thlid-PartyQaJnant 1 ^ — •— t V. Titan/Value Equities Group, Inc. ^SSSSSSSiSsssS For Claimant: Pro Se. For Respondent/Ibixd-Party daimant: Janes Robinson, Esq. of San Diego, For ibixcl-Party Raapcodect, Prlvata Ledger Fin Boyntcn, Eaq. o£ S^rn Diego f Tor Ibizd-Party Pftfirrridirit/OouDtcrclBd

I I NASD DISPUTE/RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-03504 Oide Discount Corporation, claimant vs. Patrick Masterson & Margaret Neca Knight Hudgins, respondents. ATTORNEYS: For Claimant, Olde Discount Corporation ("Claimant"), appeared in-house-counsel, Aaron L. Kleid, Esq., Detroit, ML Respondents, Patrick Masterson ("Masterson"), & Margaret Neca Knight Hudgins,("Hudgins"), appeared pro se., Louisville, KY. DATE FILE

N.A.S.D. AWARD HATICN2VL ASSOCIATICN OF SECURITIES DEALERS In the Matter of tbe"Axl}itration Between Name of Claimant (s) Peggy Roth Raoul Y. Both, as trustee vs. 91-02532 of Shearson t^hman Button, Inc. Ronald Bennan For fi a •< mantra f Raoul Y. Roth, Esq., f^nf^nn f California For Respondents: Michael C. Idoosati, Esq., Kaesal, Young & Logan, Long Beach, Stataoeat of n^im filed: August 16, 1991 g^1Vm^ lap^ rm A^ZBO&BQt

N.A.S.D. AWARD ASSOCIXnCN OF SECURITIES DEMURS In the Matter of t±e Arbitration Between T. va. iOSD Arbitration Ho. 91-01708 Kathryn vaxner, Batam THrhlur, mil Richards, Inc. For riMmmti Rebecca A. *nifiir< m, Eaq., of Bancroft, Av*ry & McAliatear , Eaq. and Ben Suter, Esq., of rneonl. Young ft Logan For Respondent Bateoan fflrhlm-, Hill Richards, Inc.: Kevin P. Mock, Esq., of Brobeclc, Fhleger ft Harrison Statanaot of Claim filed! ASM 4,

M.A.3.2. AWARD ASSOCIATION CF bdojm'ias DEALERS In the Matter of the Arbitration Between Name of vs. 31-01622 Name of Dean fitter ReynoldsT Inc. Too. LaPorte Matthew N. Harrison For Claimant: Sobert M. Roth, Investors Arbitration Services, Inc., Woodland Hills, California For ReepODdentSJ Curt B. Mueller, Esq., Dean Witter Reynolds, Inc., San Francisco, California Statement of Hnlm filed: May 24 r 1991 Claimant's Submissi