AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Ray-Min Lin and Cecilia Lin v. Arbitration No. 96-04115 Name of Respondents Titan/Value Equities Group, Inc. and Dale F. Jackson REPRESENTATION For Claimant; Jerome Sapiro, Jr., Esq. The Sapiro Law Firm San Francisco, California For Respondent: Craig R. Bockman, Esq. Jones, Bell, Abbott, Fleming & Fitzg

n V~ "~ NASD DISPUTE RESOLUTION AWARD ' NASD DISPUTE RESOLUTION, INC. CASE: 01-02134 JOEL POTASZNIK, TRUSTEE, AND KAREN POTASZNIK, TRUSTEE, Claimants vs. DREYFUS BROKERAGE SERVICES, INC., Respondent. ATTORNEYS: For Claimants Joel Potasznik, Trustee and Karen Potasznik, Trustee Claimants participated Pro Se. Respondent Representative: Kevin Kisiel, Compliance Specialist. DATE FILED: 4-27-01 ~~ ~~~~ CASE SUMMARY: Claimants Joel Potasznik,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Warren Herman 96-04111 Name of Respondents Nationwide Securities Corporation David Lavender Marco Fiore Howard Zelin Name of CrossclaJrn Claimant David Lavender Name pf foossclaim Respondent Nationwide Securities Corporation CASE SUMMARY [n a case filed with the National Association of Securities Dealers Reg

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Mary Mortell v. Arbitration No. 96-04108 Name of Respondents) LaJolla Securities Corporation, Inc. Bruce Biddick Richard L. Goodrich REPRESENTATION For Claimant: Maria J. Seedner, Esq., San Diego, California For Respondents La Jolla Securities and Bruce Biddick: Richard R. Leuthold, Esq., San Diego, California

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Bryon Simmons, M,D. 96-04107 Name of Respondent David Heredia REPRESENTATION Claimant Bryon Simmons, M.D. ("Claimant") was represented by Delmer C. Cowing, III, Esq., Defray Beach, FL. Respondent Heredia {"Respondent") did not appear. CASE INFORMATION Statement of Claim filed: September 16, 1

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Steven Rubenstein, (Claimant) vs. Alan Halpert, (Respondent) Case Number: 96-04104 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Steven Rubenstein: Brian J. Cooke, Esq., Arnstein & Lehr, West Palm Beach, FL. Respondents, Halpert & Company, Inc., Alan Halpert, and Matthew Cohen: Ruthann Niosi, Esq., The Law Offices of Ruthann Niosi, New York, NY. CASE INFORMATION

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Margaret W. and Richard A. Smucker, TTEE/FBO Smucker TRUST 96-04103 Name of Respondents Jacques Serena James A. Mclnerney REPRESENTATION Claimants Richard A. and Margaret W. Smucker, Trustees FBO Richard A. Smucker and Margaret W. Smucker Trust ("Claimants") were represented by David A. Zimmer, Esq., Greenwich, CT.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William Lecinon 96-04100 Name of Respondents David Lavender Nationwide Securities Corporation CASE SUMMARY In a case filed with the National Assocaition of Securities Dealers Regulation, Inc. on September 13, 1996, claimant William Lennon ("claimant"), who appeared Pro Se, alleged that respondents David Lavender ("Lavender"

TO & 21^1 fcffl N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION QF SECURITIES DEALERS REGULATION. INC. CASE: 96-04097 Giro Belesiriere and Frances Balestriere, claimants vs. Barnett Securities, Inc. and Terry McCoy, respondents. ATTORNEYS: Claimants appeared Pro Se For Respondents Michael J. Marino, Esq., Jacksonville, FL DATE FILED: September 13, 1996 CASE SUMMARY: Claimants alleged misrepresentation regarding the type of security th

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Dennis Gene Burccss ami Kathrvn Burgess Arbitration No. 96-04096 Name of Respondents Dean Witter Reynolds. Inc., Steve Winchcli. Ron Reid. Torn Burke. Robert Stambaugh. Richard White, Patrick J. Burke. Bradlev J. Saundcrs REPRFSENTATION For Claimants: Kathryn Burgess In pro per Downey, California For Respondents De