Arbitration N.A.S.D. AWARD NRHCHAL ASSOdATICN OF SBCDRnTES DEALERS In the Hatter of the Arbitration Between Carlos & Maria Uribe Name ot Respondents Shearson T^hn»m Brothers, Inc. Kidder, Peabody & Co., Incorporated Joseph Wbf chuck Gabriel Cepero Pat Guadagno National Association ot Securities Oeaten. inc. NASD Financial Center 33 Whitehall Street New York. ;j.Y. 10004 FAX (212) 858-4389 91-01098 For Claimants: S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Joanne Marinelli Joseph V. and Marie T. Carone Billie J. Chez Name of Respondent/Third Party Claimant Stephen Browere Name of Third Party Respondent Prudential Securities, Inc. d/b/a Prudential-Bache Capital Funding Consolidated No.s 91-00921 91-00922 91-00924 REPRESENTATION OP PARTIES Claimants, Joanne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: I. Spear Leeds & Kellogg vs. BulJseye Securities, Inc. n. Bullseye Securities. Inc., vs. Spear Leeds & Kellogg. Pasquale Schettino, Gary Goldring, Robert Lewis and Lawrence Securities, Ltd. III. Pasquale Schetlino vs. Joseph and Eva Roffler NASD Case Number: 99-02963 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Bullseye Securities, Inc.. ("Bullseye"), and Joseph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants INDUSTRY Vantage Securities. Inc. 92-00080 Name of Resoondent(s) Stuart Bockler For Claimant: Randall L. Parry, Esq. Sole Practitioner, Rutherford, New Jersey. For Respondent, Martin E. Kariinsky, Esq. of Camhy, Kariinsky & Stein, New York, New York. CASE INFORMATION Statement of Claim filed: January 9. 1992. Claimant'

PUBLIC NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. CASK #92-00075 AWARD In the Matter of the Arbitration Between PaineWebber, Inc. Claimant vs. Arsalam Hojjat Respondent CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 9, 1992, Claimant PaineWebber, Inc., through its in-house counsel, Edward G. Werner, Esq., alleged that Respondent Arsalam Hojjat ordered the purchase of 5,000

Award NASD Dispute Resolution In the Matter of the Arbitration Between: c: 01-04355 James Defrancisco \f tp. Global Financial Group, Inc., Kevin Scott Miller Hearing S^p- Chicago, Illinois Daniel Eric Larson, Darren Jason Silverman; Kevin David Renert, and Steven Camello Staltare OF PARTIES Claimant James Defrancisco hereinafter referred to as "Claimant": Jacob Pollack Esq., of Securities Receivable Arbitration, Inc., located in Washingt

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tommy E. Thompson, Individually and as Executor of the Estate of Alieen H. Thompson Claimant vs. Meyers Pollack Bobbins, Inc., Michael Ploshnick, Shelli Ploshnick, and Bear Sterns Securities Corp., Respondents. Case Number: 99-02364 Hearing Site: Houston, TX REPRESENTATION OF PARTIES Claimant, Tommy E. Thompson, Individually and as Executor of the Estate of Alieen H. Thomp

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01440 Geraldine Spinella, claimant vs. Wolff Investment Group, Inc. and Ludwig J. Cserhat, respondents. ATTORNEYS: Claimant Geraldine Spinella ("Spinella") appeared Pro Se., Bayside. New York. For Respondents Wolff Investment Group, Inc. ("Wolff") and Ludwig J. Cserhat ("Cserhat"), Patricia Wolff Schaen, President, Wolff Investment Group, Inc., New York. New Y

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Northeastern New York District Council Pipefitters Welfare Fund and Plumbers and Pipefitters Local 773, (Claimants) vs. Nicholas M. Calapa, Shearson Lehman Brothers, Inc., Smith Barney, Inc., Smith Barney Shearson, Inc., Gilford Securities, Inc., Stuart, Coleman & Co., Inc., Investors Associates, Inc., Jaron Equities Corp., Greenwich Equities, and Raike Financial Group., (Responde

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark and Lillian Bikash, (Claimants) vs. Michael Ewanouski, John Regan, and PaineWebber, Inc., (Respondents) Case Number: 99-00346 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Mark and Lillian Bikash, hereinafter collectively referred to as "Claimants": Risa G. Sorkin, Esq., Gadsby & Hannah LLP, Boston, MA. Claimants originally appeared pro se.