N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant John N. Sias Award No. vs. 94-01376 Name of Respondent Lionel Bonrassa REPRESENTATION Claimant, John N. Sias, ("Claimant"), represented himself at the hearing. For Respondent, Lionel Bonrassa, ("Respondent"), Bryan Killian, Esq. from the law firm of Sherin & Lodgen, located in Boston, Massachusetts. CASE INFORMATION

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Karen Nelson No. 94-01366 Name of Respondents Dain Bosworth, Inc. Noah Eisenberg OF PARTIES Claimant, Karen Neilsen ("Claimant") was represented at the hearing by Linda Ojala, Esq. of Kurzman Grant & Ojala, Minneapolis, Minnesota. Respondents, Dain Bosworth, Inc. ("Dain") and Noah Eisenberg ("Eisenberg") were represent

NASD Arbitration No. 94-01308 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Grace L. Allen Name of Respondent(a) Robert Deutsch RBPRESENTATIQN For Claimant: Grace L. Allen, Mountain View, California For Respondent: Ann Parry, Esq., Smith Barney Shearson Inc., New York-, New York ^ CASE INFORMATION Statement of Claim filed: February 2, 1994 Addition

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward and Diane Loeb 94-01302 Name of Respondents') John Hurley Thomas James Associates, Inc. CASE SUMMARY In a claim filed with National Association of Securities Dealers, Inc. on April 6, 1994, Claimants, Edward and Diane Loeb, who appeared Pro Se, alleged that Respondents, John Hurley and Thomas James Associates, can

Stipulated Award NASD In the Matter of the Arbitration Between: Names of the Claimants Case Number: 01-03024 Donald H. Vliegenthart, Donald H. Vliegenthart (Consolidated with 01-04267 and 01- TTEE PFT SHR PLN & Trust Cowen & Co. 03865) Alternative Spine Center U/A DTD 3/15/96 Names of the Respondents Whale Securities Co., L.P. now known as Bluestone Capital Corp., Carlos Antonio Garceran, William G. Walters, Joseph W. McSherry and Donald J.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name_of Claimants IDS Financial Services, Inc.; IDS Life Insurance Co. 94-01279 Name of Respondent James R. Fredal REPRESENTATION For Claimant: IDS Financial Services, Inc. and IDS Life Insurance Company ("IDS") were represented by Gary Irwin, Esq. of IDS Financial Corp., Minneapolis, Minnesota. For Respondent: James R. Fredal ("Freda

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimant(s) Robert D. and Mary G. Waller, Trustee NASD Arbitration v. No. 94-01275 Name of Respondents) Titan Value Equities Group and Erny Malakoff REPRESENTATION For Claimants: Richard Sacks, Investors Recovery Services, Novato, California For Respondents: Donald Wagner, Wagner & Lickman, Irvine, California CASE INFO

SEP.29.1998 N.A.5.D. AWARD NASD Regulation, Inc. Office of Dispute RMotation In the Matter of me Arbitration Between Prudential Securities. Inc. 94-01570 Name of Respondent Brian Dominick Paonessa For Claimant Prudential Securities. be. ('PSI'): John B. T. Murray, Jr., Esq. of Steel Hector & Davis, West Palm Beach, Florida Respondent Brian Dominick Paonessa ("Pacmaasa") appeared joe Ifi («* "Odier Issues"). Statement of Claim filed: April 18

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) Edward J. Kohl 94-01563 Name of Respondents) Robert W. Baird & Company Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on April 26, 1994, Claimant Edward J. Kohl, who appeared Pro Se, alleged that Respondent Robert W. Baird and Company, Inc. made errors in rolling over his Keogh A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Guido Condosta, (Claimant) vs. Lebenthal & Co., Inc., (Respondent) vs. Claire Comas (Third- Party Respondent) Case Number: 00-00936 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Guido Condosta, hereinafter referred to as "Claimant", appeared pro se. Respondent, Lebenthal & Co., Inc., hereinafter referred to as "Respondent": Dominick F. Evangelista