N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name Mary Lou Sieveit, Vito & Helen Ventrella, Leon & Beatrice F. Leyendecker, Patricia Ann Koppers, John & Marjorie Jaegar, Bemice Bloom, Marie & Marianne Cotter, John R., Sylvia K., & Renetta Rimicci 93-03059 (consolidated with 93-04014) Name of Respondents Multi-Financial Securities Corporation, and Kenneth Puckett OF PARTIES Cla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Elizabeth J.C. Mullis Naine of Respondents Dominick & Dominick Incorporated; Schneider Securities, Inc.; Correspondent Services Corp . ; 93-028 19 Howard D. Frank; Evan Frank; Del Mar Securities, Inc.; Kevin S. Allen; Mike Niebuhr; Joe Christian; American Aegis Securities; AmeriTrade, Inc.; and RAF Finan

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES pEALERS. INC. In the matter of the Arbitration Between DANIEL CUNNINGHAM, Claimant, NASD Arbitration v. No. 93-02814 THOMAS JAMES & ASSOCIATES, INC., RONALD L. WHEET, and ANTHONY CAMPEN Respondents Representation For Claimant: Daniel Cunningham, Rancho Sante Fe, California For Respondent Ronald Wheet (hereinafter, Wheel): Ronald Wheet, Charleston, South Carolina For Respondent

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nace Tyson Nickel, Claimant v. Quick & Reilly, Inc., Respondent Case Number: 01-02627 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Nace Tyson Nickel Windsor, California For Respondent: Peter Byer Quick & Reilly, Inc. New York, New York CASE INFORMATION Statement of Claim filed: May 17,2001 Amended Statement of Claim filed: May 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Albin K. Leipold CASE NO. vs. 93-02803 Name of Respondents Gruntal & Co., Inc. Susan Mahan f/k/a Susan Franks REPRESENTATION For Claimant Albin K. Leipold ("Leipold") appeared Christopher J. Calabrese, Esq., of Elliott, Stern, Calabrese & Higgins located in Buffalo, New York. For Respondent Gruntai & Co., Inc., ("Grunta

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dorothy Hasson Hunter 93-02791 Name of Respondents Gruntal& Co., Inc. Michael A. Largue REPRESENTATION For Claimant Dorothy Hasson Hunter ("Hunter") appeared R. Jeffrey More, Esq. of the law firm Coleman & Rhine, New York City, NY. For Respondent Gruntal & Company") appeared Eric S. Hutner, Esq. in-house counsel with Gr

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS Marian Plough, Claimant, v. No. 93-02787 Thomas E. Bright, and Dean Witter Reynolds, Inc., Respondents. REPRESENTATION OF PARTIES Claimant, Marian Plough ("Claimant") was represented by Ron Kent Hooper, Esq., Phoenix, Arizona, *• Respondents Thomas E. Bright and Dean Witter Reynolds, Inc. ("Respondents") were represented by Timm A. VerDuin, Esq., of Dean Witter Reynolds, Inc.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Morton Poland 93-02700 Name of Respondents Gruntal &Co., Inc. Frank F. Idestone REPRESENTATION For Claimant Morton Poland: appeared pro se For Respondents Gruntal & Co., Inc. ("Gruntal") and Frank F. Idestone yC'Idestone"): Donald N. Cohen, Assistant General Counsel, Gruntal & Co., Inc., New York, NY CASE INFORMATIO

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS l^ame of Claimant Lola M. Wall, individually and as Attorney-In-Fact for Lola Crawford Meriwether No. 93-02675 of Resnondents Morgan Keegan & Company, Inc.; Tommy Thompson REPRESENTATION OF PARTIES For Claimant: Lola M. Wall ("Wall"), individually and as attorney-in-fact for Lola Crawford Meriwether ("Meriwether"), was represented by Dan A. Smetherman, Esq., located in New Orleans

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Clarence J. Doser Case No. 93-02666 Name of Respondents J.B. Hanauer & Co. Richard J. George, Jr. Prudential Securities, Inc. REPRESENTATION For Claimant, Clarence J. Doser ("Doser"): Matthew L. Jones, Esq. of Stuart, Florida. For Respondent, Prudential Securities, Inc. ("Prudential"): Debra Jenks, Esq. of Boose Casey C