Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Phuc Quang Le, Claimant v. WMA Securities, Inc. and S. Hubert Humphrey, Respondents Case Number: 01-01767 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Phuc Quang Le, hereinafter referred to as "Claimant": Marc S. Dobin, Esq., Dobin & Jenks, LLP, Jupiter, Florida. For WMA Securities, Inc. ("WMA") and S. Hubert Humphrey ("Humphrey"), hereinafter collectively re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between I Name of Claimant Interstate/Johnson Lane Corporation n/k/a Wachovia Securities, Inc. Case No. 98-00142 Names of Respondents Robert L. Gregory, Jr. Carol Ann D. Gregory In the Matter of the Arbitration Between Names of Claimants Robert L. Gregory, Jr. Carol Ann D. Gregory Case No. 00-00894 Names of Respondents X Patrick Thomas McShea : :::.

AWARD NASD Regulation, Inc. CASE: 98-00139 Orthopedic Associates Retirement Trust, claimant vs. Smith Barney, Inc., and Daniel R. McAuliffe, Jr., respondents. ATTORNEYS: Claimant appeared Pro Se, through its trustee, Donald L. Boyd, Leesburg, GA For Respondents appeared in-house counsel, Ann Parry, New York, NY DATE FILED: January 12, 1998 CASE SUMMARY: Claimant alleged that respondents did not pay him the correct price when he liquidated shares

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants James P. and Tudor M. Austin, JTWROS 98-00137 Name of Respondents Salomon Smith Barney, Inc. John F. Habig REPRESENTATION For Claimants James P. Austin and Tudor M. Austin (referred to collectively as "Claimants") appeared Robert A. Shaines, Esq. from Shaines & McEachern, P.A., located in Portsmouth, New Hampshire. For Respondent Salomon Smith Barn

JUN.15.1999 12=23PM NO.803 P.32 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between i Name Of Claimant , / Marvin Ganger 98-00133 Names of Respondents Josephthal Lyon & Ross, Incorporated Steve Dates REPRESENTATION For Claimant: Curtis Carlson, Esq. of Carlson & Bales, P.A,, Miami, FL. For Respondent Josephthal Lyon & Ross, Incorporated ( H Josephthal"); John E. Bersin, Esq., Associate General Counsel, Jo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00126 Cyrano Pallandt, claimant vs. Arthur Kessler & Dabney/Resnick/Imperial L.L.C., respondents. ATTORNEYS: Claimant appeared Pro Se. - Huissen Netherlands For respondent Dabney/Resnick/Imperial L.L.C., appeared David M. Bartholomew, Esq. - Long Beach, CA. Respondent Arthur Kessler appeared Pro-Se - Marina Del Ray, CA. DATE FILED: 1/12/98 CASE SUMMARY

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Paine Webber Incorporated Case No. 98-00124 (Consolidated with Case No. 98-00125) of Resondent JonLeTang (Case No. 98-00124) Pierre M. Koutani (Case No. 98-00125) Consolidated June 3, 1999 REPRESENTATION OF PARTIES Claimant PaineWebber Incorporated ("PaineWebber") was represented by Janiece M. Langoria, Esq. of Ogden, Gibson, White & Br

NASD REGULATION, INC. . AWARD In the Matter of the Arbitration Between Name of Claimant Rae-Carole Fischer vs. Case No. 98-00123 Name of Respondent Charles B. Jenkins REPRESENTATION For Claimant Rae-Carole Fischer ("Claimant* 1 ), appeared David A. Stampley, Esq. of the law firm Thelen Reid & Preist LLP, located in New York, New York. Respondent Charles B. Jenkins ("Respondent") did not enter an appearance in this matter. CAS

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00121 Anthony & Doreen Zaino, claimants vs. Corporate Securities Group & Michael Hohner, respondents. ATTORNEYS: Claimants appeared Pro Se. - Westbury, NY. For Respondent Corporate Securities Group, Inc. appeared Gregory Tendrich, Esq. - Boca Raton, FL. Respondent Michael Hohner did not appear DATE FILED: 1/12/98 CASE SUMMARY: Claimant alleged unau

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00119 The Ray Pellegrino Trust, claimant vs. J.B. Oxford & Company, respondent. ATTORNEYS: For claimant appeared - Ray Pellegrino For respondent appeared Albert Laubenstein DATE FILED: 1/12/98 CASE SUMMARY: Claimant alleged failure to execute in a timely manner. Claim Data Award Data Claim: $3,000.00 Award: $.00 Filing Fees: $125.00 . Filing Fees: $.00 Other: $.00 Other: $.00 AWARD: The undersigne