N.A.S.D. REGULATION, INC. AWARD CASE:98-0061 Cedric M. Swirsky, claimant vs. Todd M. Ficeto, respondent. ATTORNEYS: Claimant appeared Pro Se. - Launa Neguel, CA. For respondent appeared H. Thomas Fehn, Esq., Los Angeles, CA. DATE FILED: 1/6/98 CASE SUMMARY: Claimant alleged failure to pay commissions and compensation. Claim Data Award Data Claim: $4,228.84 Award: $.00 Interest: Requested Interest: $.00 Filing Fees: $.00 Filing Fees: $.00

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00058 Phillip Mazziotta, claimant vs. A.S. Goldmen & Co., respondent. ATTORNEYS: Claimant appeared Pro Se. - Ramsey, NJ. For respondent appeared Carole R. Bernstein, Esq., Norwalk, CT. DATE FILED: 1/6/98 CASE SUMMARY: Claimant alleged account negligence and failure to supervise. Claim Data Award Data Claim: $3,000.00 Award: $3,000.00 Filing Fee: $.00 Filing Fee: $125.00 Other: $.00 Other: $.00 A

Award NASD In the Matter of the Arbitration Between: Jay C. Mallory, Claimant v. Sharpe Capital, Inc. and Daniel William Bustamonti, Respondents Case Number: 01-01749 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Jay C. Mallory, hereinafter referred to as "Claimant": Michael J. McCluskey, Esq., Warner, Fox, Wackeen, Dungey, Seeley, Sweet & Bear, L.L.P., Stuart, FL. For Sharpe Capital, Inc. ("SCI") and Daniel William Bustamonti ("Bustam

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Solomon and Leah Werzberger Case No. vs. 98-00057 Name of Respondents Salomon Smith Barney, Inc. and Ivan H. Norman REPRESENTATION Claimants Solomon Werzberger ("Mr. Werzberger") and Leah Werzberger ("Mrs. Werzberger") (collectively "Claimants"), appeared pro se and are located in Monsey, New York. Respondents Salomon Smith Barney, Inc. ("Smith Barney"

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00055 ";X Sara Ben-Hanania, claimant vs. Smith Barney, Inc., and Albert Hanin, respondents. ATTORNEYS: Claimant appeared Pro Se, Boca Raton, FL. For Respondents appeared in-house counsel, Ann Parry, Esq., New York, NY. DATE FILED: January 6, 1998 CASE SUMMARY: Claimant alleged that she incurred margin interest costs because respondents improperly withheld

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of-Claimants All and Nayereh Rassoulpour 98-00054 Name of Respondent ' Smith Barney Inc. REPRESENTATION Claimants Ali and Nayereh Rassoulpour ("Claimant") represented themselves. Respondent Salomon Smith Barney, Inc. ("Respondent") was represented by Ann Parry, First Vice President, Associate General Counsel for Salomon Smith Barney, New York, NY. CASE INFORMATION

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bruce M. MacArthur, as Trustee for the Bruce M. MacArthur Trust 98-00053 vs. Name of Respondents Estate of Herbert Davidson Meyers, Pollock, Robbins, Inc. REPRESENTATION Claimant Bruce M. MacArthur, Trustee for the Bruce M. MacArthur Trust, ("Claimant") was represented by John M. Braswell, Esq., Redmon, Boykin & Braswell, LLP, Alexandria, Virgin

NASD Regulation, Inc., Office of Dispute Resolution Arbitration No. 98-0049; Award Page 1 of 4 . AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Bert O. Bayless, Claimant, and No. 98-0049 Sovereign Equity Management Corp. and Vincent James Albanese, Respondents. REPRESENTATION OF PARTIES Claimant, Bert O. Bayless, ("Claimant"), was represented by Stuart Evan Glass, Esquire of Weiner Glass & Reed located in Dallas.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Peter Bleas; and George Skoubis 98-00043 Name of Respondent Pacific Brokerage Services Inc., n/k/a Dreyfus Brokerage Services, Inc. REPRESENTATION For Claimants: Peter Bleas ("Bleas") and George Skoubis.("Skoubis") were represented by Kenneth K. Ditkowsky, Esq. of Ditkowsky and Contorer, located in Chicago, Illinois, For Respondent: Pacific Brokera

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00042 Miguel A. Bustillo, claimant vs. Olde Discount Corporation and Ken Frank, respondents. ATTORNEYS; Claimant appeared Pro Se, Falls Church, VA. For Respondents appeared in-house counsel, Amy Kutt Richards, Esq., Detroit, MI. DATE FILED: January 5, 1998. CASE SUMMARY: Claimant alleged that he placed a limit order to purchase Del Global Technologies Corp