Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Parmanand and Renu Kumar, Claimants v. Brown & Company Securities Corporation and Mike Little, Respondents Case Number: 01-06876 Hearing Site: Los Angeles, California Nature of the Dispute: Customers v. Member and Associated Person REPRESENTATION OF PARTIES For Claimants: Marc I. Zussman, Esq. Law Offices of Marc I. Zussman Los Angeles, California For Responde

N.A.S.D. AWARD NATIQNMi ASSOCIATION OP HHUJy -1'i'TBg EEAUSRS / Sr. 92-00640 PaioaMebber, Inc. Philip L. DuBois Michael S. Pederloo Arbitration National Association of Securities Dealers, Inc. NASD Financial Center 33 Whitehall Street New York.N.Y. 10004 FAX (212) 858-4389 For d&ina&ti Ptor Reapoodeatst rgpnaaented by Jennif ex A. Statement of fn«< » filed: February 21, 1992. Claimant's Submission Agreement signed

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kevin T. Donovan and Sandra Gonzales, Claimants v. Presidential Brokerage, Inc. and Erik Simmons, Respondents. Case Number: 99-03064 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: For Respondents: Stanley L. McDonald, Esq. Law Offices of Stanley L. McDonald San Diego, California Greg A. Johnson, Esq. Law Offices of Greg A.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: H. George Lundberg and Angelika M. Lundberg; Angelika M. Lundberg and H. George Lundberg JTTENAVROS; HGL Consulting/Research LTD, H. George Lundberg President; Lola D. Thomas Trust, H. George Lundberg Trustee and H. George Lundberg and Lola D. Thomas, JTTEN, Claimants v. PaineWebber, Inc. and David Yukio Qmura, Respondent. Case Number: 00-01074 Hearing Site: Honolulu. HI REPRE

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NjuneofClaimants Charles H. Wilkinson & Harry Taylor 92-00636 Name of Respondents PaineWebber Incorporated Oppenheimer & Co., Inc. REPRESENTATION For Claimants: Charles H. Wilkerson and Harry Taylor were represented by Stuart C. Goldberg, Esq., of the Law Offices of Stuart C. Goldberg, Esq., located in Austin, Texas. For Respondents: Oppenh

N.A.S.D. MATTONAT. ASSOCIATION OF SECURITIES DEALERS. TNC. In the matter of the Arbitration Between Dean Witter Reynolds, Inc. NASD Arbitration No. 92-00633 Name of Respondent(&} Darwin Hostelley RgpRgSBMTATTQK For Claimant: Jay Cutler, Esq., Dean Witter Reynolds, Inc., San Francisco, California For Respondent: Darwin Hostelley, Honolulu, Hawaii INFORMATION Statement of Claim filed: February 19, 1992 Claimant's Submission Agreeme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bobby G. Little Sharon Little NASD Arbitration No. 92-00632 Name of Respondent Wedbush Morgan Securities i REPRESENTATION For Claimant: In Pro Se For Respondent: Marie Eaton - Wedbush Morgan Securities, Inc. CASE INFORMATION Statement of Claim filed: February 21, 1992 Claimants' Submission Agreement signed: Feb

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASE #92-00624 AWARD in -he Matter of the Arbitration Between Hattie C. Geuser Myrtle G. and Philip A. Piccola vs. Invest Financial Corporation Wayne Hodges Respondents CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 19, 1992, Claimants, Hattie C. Geuser, Myrtle G. and Philip A. Piccola who appeared Pro Se, alleged that in August

V.A.S.D. AHWffl of Dennis R. Casey NO. 92-00622 Dean wit tec Reynolds, Inc. James Mooney, Philljip Sloan and Viekey Berent, jn/X/a Vicfcey Martin RBPflHHBNTATIOtf QP PARTTBS For ClainaAt: John C. ^udsaco, Esq., Arlington, Virginia. For Reapondento: Marlq R. werdar, Esq., of Honignan, Miller, Schwartz and Conn, Detroit, Michigan. Statement of Claim filed on or about: February 18, 1992. Claimant's Submission Agreement signed: March 2,

N.A.S.D. AHAHD NATIONAL ASSOCIATION OP SBCDRITIBS DEALERS In the Matter of the Arbitration Between Siegfried E. Seifart 92-00615 f Respondents St rat ton Oakmont, Inc Steven Cohen The Claimant Siegfried E. Seifart ("Claimant") appeared pro se. Respondent Stratton Oakmont, Inc. ( "Stratton") was represented by M. David Hyman, Esq. in-house counsel at Stratton Oakmont, Inc. Respondent Steven Cohen ("Cohen") appeared pro se. CASB INFQBMATIO