NATIONAL ASSOCIATION OP SECURITIES DEALERS, INC. In the Matter of the Arbitration Between ) ) MICHAEL and MICHELLE DUBARRY NIXON, ) Claimant*, } ) Case J89-00855 vs. Award JOSEPHTHAL & CO., INC.. SHELDON BERMAN and BRUCE ARONSON, Respondents. Heard before the members of the Arbitration Panel: Myron Dunay, Esq. Mr. Nathan Wesler Mr. Jerrold Glass CASE SUMMARY This claim was filed with the NASD, Inc. on March 20, 1989. The

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Hazel and William Hopkins 95-05415 Name of Respondents A.B. Culbertson & Company Charles W. Burks CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on November 15, 1995, Claimants Hazel and Williams Hopkins ("H. Hopkins"), through their representative, Barbara L. Wolf, Esq., located in

NJV.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Brian and Lorraine O'Connor 95-06059 Name of Respondents Buttcrawood Securities, Inc. Edward A. McKay, Jr. Lawrence J. Rosen SalWaisbrut Cantella & Company UFPRft^ENTATTQK For Claimants: Richard Groner, Esq. of Groner & Scfaieb, Sarasota, FL. Respondent Lawrence J. Rosen appeared pro se. For Respondent Cantella

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Popular Securities, Inc. 98-04909 Names of Respondents PaineWebber, Inc. Antonio Herrero Luis Herrero REPRESENTATION For Claimant: Ricardo F. Casellas, Esq. of Fiddler, Gonzalez & Rodriguez, LLP, San Juan, PR. For Respondents PaineWebber, Inc. ("PaineWebber"), Antonio Herrero and Luis Herrero ("Registered Representatives"): Sara Soto, Esq. of Fowler

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant The Estate of John Claire Converse 94-04727 Name of Respondent Robert (Elemer) Sexton REPRESENTATION For Claimant: The Estate of John Claire Converse ("Converse"): J.M. Guarch, Jr., Esq. of Aran Correa & Guarch , P.A. of Coral Gables, Florida. For Respondent: Robert (Elmer) Sexton ("Sexton"): Leo McShane, Esq. of Miami, Florida

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Anela Angeletti 94-05506 Name of Respondent^ Mutual Services Corp Bruce E. Winter REPRESENTATION For Claimant: Myron S. Dunay, Esq. of Myron S. Dunay, P.A., Delray Beach, FL. For Respondent: James M. Kaplan, Esq. of Wilson, Elser, Moskowitz, Edelman & Dicker, Miami, FL. CASE INFORMATION Statement of Claim filed: D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Universal National Bank 94-04910 Name of Respondents Marcus, Stowell & Beye Government Sec. Marcus, Stowell & Beye Inc. Meridian Securities Inc Philip Boyd Name of Third-Party Respondents George Feldenkreis Moises Chorowski Gary W. Dix A.D. Fuller Larry Perl Peter E. Ryan S. B. Topf REPRESENTATIO

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Si Fine Case No. 98-04877 Name of Respondent Metropolitan Life Insurance Company REPRESENTATION OF PARTIES For Si Fine ("Fine"), hereinafter also referred to as "Claimant": H. Mark Vieth, Esq. of Tilghman & Vieth, P.A., Miami, Florida. For Metropolitan Life Insurance Company ("Met Life"), hereinafter also referred to as "Respondent": Allan H. We

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard T. and Virginia M. Stockton, Claimant v. Baxter, Banks & Smith, Ltd, Aaron Capital, Incorporated, Kevin John Ruggiero and Francis Martin McDermott, Respondents Case Number: 99-03009 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Richard T. and Virginia M. Stockton ("Claimant"): For Baxter, Banks & Smith, Ltd. ("BBS") and Francis Marti

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Conrad Wertheim and Frances Wertheim Case No. 92-02248 Name of Respondent(s) Legg Mason Wood Walker, Inc Charles B. Lundin REPRESENTATION For Claimants, Conrad and Frances Wertheim ("the Wertheims") Patricia Shub, Esq. of Patricia A. Shub, P. A. For Respondents, Leg Mason Wood Walker, Inc. ("Legg Mason") and Charles Lund