AMSO H.A.J.D. i NATIONAL ASSOCIATION OF SECURITIES DEALERS "In the Matter of the Arbitration Between"" of Claimant National Association of Securities DeeJer*«< Inc. NASD Financial Center 33 Whitehall Street New York, New York 1000- Rocky J. Cirino Name of Respondents Prudential Securities Inc William Gordon 91-00961 For Claimant: Robert W. r-fclntyre, Esq. of Mclntyre, Kahn & Kruse. For Respondents: Herbert J. Marek, Asso

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant James W. Teunas No. 91-00954 Name of Respondents ISFA Corporation d/b/a Driest Mark Jensen REPRESENTATION OF PARTIES For Claimant: Wilbur W. Warren, Esq. of Warren Law Office S.C. For Respondents: Eugene B. Harper, Esq., Staff Attorney of ISFA Corporation d/b/a Invest. CASE INFORMATION Statement of Claim filed: Marc

N.A.S.D. AWARD NATICNAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between Evelyn B. Mams Name of Respondent (s) PaioeWettocr, lac. Christopher Hodges (Third Party Respondent) Arbitration Nation*! Association of Securities Dealers, Inc. One East Broward Boulevard Suite 1000 Ft. Lauderdale, Florida 33301 (305) 522-7391 Case Mb. 91-00951 For dainsnt, Evelyn Adams (•Adams"): Stuart C. Golcfcerg, Esq.

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC, In the Matter cf the Arbitration Between James T. & Christine R. Burton Claimants vs . Claiborne H. Kinnard Respondent SUMMARY CASE* 91-00949 AWARD Pro Se Claimants James T. and Christine R. Burton, in a claim filed with the National Association of Securities Dealers, Inc. on March 26, -991, alleged that their broker at First Affiliated Securities Inc. and the branch manager Claibo

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In che Matter of the Arbitration Between Name of Claimants William De Nicolo Telular, Inc. *-- •*** NO. 91-00948 Name of Respondents Shearson Lehman Hutton, Inc. Rodman & Renshaw, Inc. Lester W. Rodgers REPRESENTATION OF PARTIES For Claimants: Vincent Hart, Esq. and Nicholas P. Iverone, Esq. of Bellows & Bellows, Chicago, Illinois. For Respondent Shearson Lehman Hutton

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CAS;?.- 01-01795 JuLj Fugate, claimant vs. Bane of America Investment Services, Inc., respondent. ATTORNEYS Claimant appeared pro se, Sherwood, OR. For Respondent appeared John F. McGrory, Jr., Portland, OR. DATE FILED: April 9, 2001 CASE SUMMARY: Claimant alleged respondent did not execute trades in her account at the time she requested them to do so. Claim Data Award Data Claim: $

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Brian Corbett (Claimant) vs. Wachovia Securities, LLC f/k/a Prudential Securities (Respondent) Case Number:Q5-01103 Hearing Site: New York, New York. Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Brian Corbett hereinafter referred to as "Claimant": Harry J, Delagrammatikas, Esq., and Liam O'Brien, Esq., Liam O'Brien & Associates P.C. New Yor

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Stanford Group Company and Case Number: 05-01098 Hearing Site: Houston, Texas Name of Respondent James Luke Patterson NATURE OF DISPUTE Member Firm v. Associated Person REPRESENTATION OF PARTIES Stanford Group Company ("Claimant") was represented by Rebecca Hamric, Esq., Stanford Group Company, Houston, Texas. James Luke Patterson ("Respondent

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 05-01094 Anne Klotz Names of the Respondents Hearing Site: Boca Raton, Florida Ryan Beck & Co., LLC David Pines Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Anne Klotz, hereinafter referred to as "Claimant": Ira F. Markowitz, Esq., Coral Springs, Florida. For Ryan Beck & C

Award NASD Dispute Resolution In the Matter of the Arbitration petween: Name of the Claimant Case Number: 05-01092 Rita .Williams Names of the Respondents Hearing Site: Tampa, Florida Advest, Inc. Edward Carlsen, Sr, Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES i For Rita Williams, hereinafter referred to as "Claimant": Kevin A. Szanyi, Esq., Webster Szanyi LLP', Buffalo, New York. i