NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Ronald A. McDow d/b/a Ram Trading and 94-01621 Name of Respondent Thomas F. White & Co., Inc. U.S. Clearing Corp. REPRESENTATION OF PARTIES Ronald A. McDow d/b/a Ram Trading ("Claimant") was represented by Michael A. Meyers, Esq., Sidwell & Barrett, P.C., Franklin, Tennessee and Michael L. Dagley, Esq., Farris, Warfield &

ongnd N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) The Estate of Ali Gerami & Mahin Geramian 94-01614 Name of Resgondent(s) Bear Stearns & Company, Inc. Edward McClain "Clay" Bradley REPRESENTATION For Claimant: The Estate of Ali Gerami and Mahin Geramian: George Robertson, Jr.. Esq., Roswell, GA. For Respondent Bear Stearns and Co., Inc. ("Bear Stearns"): Terry

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-03016 PHD Capital Corp., Claimant vs. Pablo Guerrero, Respondent. ATTORNEYS: For Claimant appeared Michael S. Colombo, President of Streetwide Asset Recovery Group, Inc., New York, NY. Respondent did not respond to the Statement of Claim. DATE FILED: June 7, 2001 CASE SUMMARY: Claimant alleged that respondent failed to reimburse claimant for training and registration costs in a

Case No. 94-01608 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant PaineWebber, Inc. Name of Respondent John L. Bridges REPRESENTATION For Claimant, PaineWebber, Inc. ("PW") appeared Alice Jump, Esq. of Paine Webber, Inc. Respondent, John Bridges, ("Bridges"), appeared pro se. CASE INFORMATION Statement of Claim filed on: April 29, 1994 Claimant's Submission Agree

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Toolcraft Supply, Inc. 94-01647 Mame nf Respondents James W. Billiard John Puglisi Cantella & Company Securities Planners, Inc. J.W. Bullard & Co. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant Toolcraft Supply, Inc. ("Claimant"), through its represen

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Joseph Wilk 94-01645 Name of Respondent Prudential Securities Inc REPRESENTATION For Claimant: Allan R. Freedman, Esq., New York, New York. For Respondent: Kirsten Hotchkiss, Esq. of Prudential Securities Incorporated, New York, New York. CASE INFORMATION Statement of Claim filed: May 2, 1994. Claimant's Submission

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claitnant(s) David D. Becker 94-01639 Name of Respondents) Kirkpatrick, Pettis, Smith, Polian Inc. James Clark , ^ CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1994, Claimant David D. Becker, who appeared Pro Se, alleged that Respondents Kirkpatrick Pettis, Smith, Polian, Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Harold W. Estill 94-01636 Name of Respondents Brokers Investment Corporation Norman Shubert Daniel Steinberg Michael Markow Jonathan Shoucair Raymond Niesslein Sovereign Cap. Group, a California Corp William Lawrence Securities, Inc. Martin W. May REPRESENTATION For Claimant Harold W. Estill ("Claimant")

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Theodore R. Aho Award # vs. 94-01635 Name of Respondents PaineWebber, Inc. Frank Novak REPRESENTATION For Claimant, Theodore R. Aho ("Claimant") John R. Blake, Esq., form the law firm of Bowditch & Dewey, located in Worcester, Massachusetts. For Respondents, PaineWebber, Inc. ("PaineWebber") and Frank Novak ("Novak")

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 06-04279 Fidelity Brokerage Services LLC FMR Corp. Name of the Respondent Hearing Site: Baltimore, Maryland Philip A. Rousseaux, Jr. Nature of the Dispute: Member and Non-Member vs. Associated Person. REPRESENTATION OF PARTIES For Fidelity Brokerage Services LLC and FMR Corp., hereinafter collectively referred to as "Claiman