Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles Levey, (Claimant) vs. SG Cowen Securities Corporation, (Respondent) vs. H.J. Meyers & Co., Inc., (Third Party Respondent) Case Number: 99-03238 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Charles Levey, hereinafter referred to as "Claimant", appeared pro se. Respondent, SG Cowen Securities Corporation, hereinafter referred to as "Respondent": Peter

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Samuel L. Bare and Daniel LaPadula Case #92-02250 Name of Respondents) Manchester Rhone Securities Corp., John Figliolini For Claimant, Samuel L. Bare ("Bare") and Daniel LaPadula ("LaPadula"): Samuel L. Bare, Esq. For Respondent, Manchester Rhone Securities ("MRS"): Karen LoSordo. For Respondent, John Figliolini ("Figlio

N.A.S.D. AWARD In -he matter of "he Arbitration Between Mame q_f C 1 a i nanr '. ~ } Edward I. Miller, individually, as Trustee of Newport Harbor Radiology Associates Medical Group Profit Sharing Plan and Trust, and as Trustee of the Miller Family Trust NASD Arbitration No. 92-02249 Name of Respondent (s) Titan Value Equities Group, Inc. Robert H. Osur For Claimant: David C. Hinshaw, Esq. and Spencer A. Burkholz, Esq., Gansinger,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eugene A. Cox _- 92-02247 Name of Respondents Shearson Lehman Hutton, Inc. Robert Grapin REPRESENTATION For Claimant at the hearing: Michael Brose, Esq. of Doar, Drill & Skow, S.C., New Richmond, Wisconsin. For Respondents at the hearing: Tom Vitt, Esq. of Dorsey & Whitney, Minneapolis, Minnesota. CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimants Donald R. & Dorianne Mitchell and 92-02243 Name of Respondents Consolidated Investment Services, Inc. Norman P. Rounds, Randy Romero and Ronald D. Smits RJEPRESEOTATION OF PARTIES Claimants were represented by William D. Nelson, Esq. of Robinson, Waters, O'Dorosio and Rapson, Denver, Colorado. Respondents Consoli

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Mary Anne Fossey (Fretland) 92-02242 Names of Respondents Titan Value Equities Corp. Robert Keats REPRESENTATION Claimant, Mary Anne Fossey was represented by Bruce Pearson of Fargo, North Dakota. Respondents, Titan Value Equities Corp. and Robert Keats were represented by Thomas W. McCann, Esq. of Brown & Bain, Phoenix

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NameofClaimant Michael R. Difate Case# vs. 92-02241 Name of Respondents Yankee Financial Group, Inc. Richard Kresge For Claimant: Gerald E. Marcus, Esq. For Respondent: Thomas J. McCabe, Esq. CASE INFORMATION Statement of Claim filed: July 7, 1992. Claimant's Submission Agreement signed on: June 26, 1992. Statement of Answer fil

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SEOJRITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Anne Marie Feaiey vs. 92-02239 Name of Respondents Kober Financial Corp. Kober Corporation CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 7. 1992, Claimant Anne Marie Feaiey, who appeared Pro Se, alleged that Respondents Kober Financial Corp. and Kober Corporation effected an

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter or the Arbitration Between Name nr Claimant Charles DeLorean 92-02238 NarneofResoQnclent Shearson Lehman Brothers. Inc. REPRESENTATION For Claimant Charles DeLorean ("Claimant"): John M. Manos. of Manos &. Company. For Respondent Shearson Lehman Brothers ("Shearson"): Robert N. Rapp, of Calfee. Halter et ai. CASE INFORMATION Statement of Claim filed: July 6. 1992

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Namei of Claimants Ken Frankel, Individually and as Custodian for Samantha Rae Frankel and Joanne Frankel Case No. 98-04215 Names of Respondents CISC World Markets Corp. Abbott Lee Glasser Robert Bruce Hord, Jr. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Ken Frankel, individually and as custodian for Samantha Rae Frankel and J