N.A.S.D. AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Siegfried Wesserle and Ingeborg Wesserle 96-02594 Name of R^pondent Oppenheimer & Co., Inc. REPRESENTATION For Claimants: Siegfried Wesserle and Ingeborg Wesserle ("Wesserle") were represented by Siegfried Wesserle of GJenview, Illinois. , ^'ntnvr For Respondent: Oppenheimer & Co., Inc.•'("OppenheimeT") wag represente

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Vincent Gewalt v. Arbitration No. 96-02593 Name of Respondents Dean Witter Reynolds, Inc. David Combes REPRESENTATION OF PARTIES Vincent Gewalt ("Claimant") was represented by Michelle R. Finch, Esq. and Whitaker Riggs, Esq., Finch Cosho, P.A., Boise, Idaho. Dean Witter Reynolds, Inc. and David Combes ("Respondents") we

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Kellogg Bertine, Jr. 96-02588 Name of Respondents National Discount Brokers Joe McKenna CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on June 17, 1996, Claimant Peter Kellogg Bertine, Jr. ("Claimant"), who appeared Pro Se, alleged that on March 7, 1996 he entered an order for

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant B.J. Ukra v. ' - Arbitration No. 96-02586 Name of Respondent Bear Stearns Securities Corporation REPRESENTATION For Claimant: Gerald M. Shaw, Esq. Law Offices of Gerald M. Shaw Corona Del Mar, California For Respondent: Ellen R. Friedman Associate Director Bear Stearns & Co., Inc. Los Angeles. California

04/10/03 THU 08:37 FAX NASD REGULATION ] 002 BEFORE THE ARBITRATION COMMITTEE OF THE NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Amii Kumar, Harsh Kumar, Kanak Kumar and Amul Kumar, Claimants, V. No. 96-02585 Jason Nuss, Jeffrey Nuss, J. Gregory & Co., ) D. Blech & Co., Inc., J.W. Charles Securities, ) Inc., David Blech T Vincent Mongno and ) Dianne Borden, ) Respondents. ) STIPULATED ARBITRATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: McLaughlin, Piven, Vogel Securities, Inc., Claimant v. Shahmir J. Moussavi, Vikram J. Chand and First Union Securities, Inc., Respondents Case Number: 01-02123 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Kevin J. Roll, Esq. Gordon-Creed, Kelley, Roll & Sugerman, LLP San Francisco, California For Respondents: Jon L. Rewinski, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00800 George V. Henei and Sharon A. Henel, Claimants vs. Brown & Company Securities Corporation, Respondent. ATTORNEYS: Claimants George V. Henel and Sharon A. Henel ("Claimants"), appeared Pro Se., Buffalo, NY. For Respondent Brown & Company Securities Corporation, ("Respondent"), appeared in-house counsel, Barry S. Fischer, Esq., Boston, MA. DATE FILED: February 23, 2000

Arbitration & Mediation National Association of Securities Dealers.Inc. * NASD Financial Center * 33 Whitehall Street * New York,NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants N. Dennis Doane & Robin Doane 96-02584 Name of Respondent Brown & Company Securi

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Thomas H. Grant and Nitza (a/k/a Nancy) Grant 96-02583 Name of Respondents Lehman Brothers, Inc.; and Robert Perlman REPRESENTATION For Claimant: Thomas H. Grant ("Dr. Grant") and Nitza, also known as Nancy, Grant ("Mrs. Grant") were represented by Anthony S. DiVincenzo, Esq. of Campbell & DiVincenzo, located in Chicago, Il

NASD Regulation, Inc. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant^ John Teixeira 96-02581 Name of Respondent^ Hunter International Securities, Inc. Stephen H. Larkin Michael C. Hiler REPRESENTATION Claimant John R. Teixeira ("Teixeira") was represented by Mitchell T. McRae, Esq. of Mitchell T. McRae, P.A., Boca Raton, Florida. Respondents Hunter International Securities, Inc. ("Hunter") and S