Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OF SECURITIES DEALERS" NASD Financial Center 33 Whitehall Street — - : - — — - - — - - — - : - - - New York. N.Y. 10004 -n uie Matter or the Arbitration Between -AX (2121 858-4389 of George Madden, Kenneth anri Ruth Walters and George Valentine Name of Respond 0 *" 1 ts First Investors Corporation, Angelo Coscia

Arbitration N.A.S.D. AWARD National Association of Securities Dealers. Inc. NATIONAL ASSOCIATION OP SECURITIES DEALERS" NASD Financial Center 33 Whitehall Street New Vork - N - Y - » . ... - -- cne Matter of the Arbitration Between ~AX (212) 858-4389 Name of e George Madden, Kenneth and Ruth Walters and George Valentine #91-01848 #91-01849 of First Investors Corporation., Angelo Coscia

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECORTEEES DEALERS, INC. In the Matter of the Arbitration Between Q£ 91-01846 Werthelm Schroder & Co., IDC. RCM Capital Soger Webb For Claimant: For Respondents: David Goldnan, Esq. of the law firm of Wexler & Burkhart, F.C. RCM Capital and Roger Webb did not appear at the bearing or file any pleadings. CASE IMPOBMKCKM Statement of Claim filed on: June 13, 1991. Claimant's Submis

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant^ Ann D. Rendleman Loper Case No. 91-01843 Name of Respondentfs^ Prudential-Bache Securities Inc. James E. Betts REPRESENTATION For Claimant, Ann Rendleman Loper ("Rendleman"): David McDonald. For Respondents, Prudential Securities, Inc. ("Prudential") and James Betts ("Betts"): Gary Klein, of Esq. of Prudential. CASE IN

N.A.S.D. AWARD NMTCNMi ASSOCIATION OF SBCDRTTXES DEALERS In the Matter of the Arbitration Between NanneofClaiJiiantJs) Leonard Rosenberg and Hprmn Rose, as Co-Trustees of TWR. Salefl Corp. Pension Plan and Trust Defined Benefit Pension Plan, TWR Sales Corp. Defined Contribution Pension Plan, TWR Sales Corp. Profit Sharing Trust, IWin Rose Produce Corporation Defined Benefit Pension Plan, Twin Rose Produce Defined Contribution Pension Pla

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant , . Patricia Boozell 91-01839 Name of Respondent """ '**' Pacific Brokerage Services Inc. Claimant Patricia Boozell appeared Respondent Pacific Brokerage Services, Inc. did not appear at the hearing. The Statement of Claim was filed on or about June 11, 1991. Claimant's Submission Agreement signed on June 27, 1991. Statemen

H.A.S.D. J9MD NATICNAL ASSOdATICN OF SECQRITSS DEAISS In the Matter of the Arbitration Jay Kopf George Levied, 91-01747 consolidated W/91-O1B25 Mama of Otra Securities Group lac. First Fideltiy Capital Corporation Ted Rubin Claimants Jay Itapf and George Levien ("Claimants") were represented by Jacob Zamansfcy, Esq. of Hincfcley & Silbert, P.C. Respondent Otra Securities Group, Inc. ("Otra") was represented by Scott Monaon, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-00768 Robert F. Salak Revocable Living Trust, claimant vs. Salomon Smith Barney Inc. and Bernard E. Packard, respondents. ATTORNEYS: Claimant appeared Pro Se, through its Trustee, Robert F. Salak, Michigan City, IN. For Respondents appeared Ann Parry, Esq., in-house counsel, New York, NY. DATE FILED: February 15, 2001 CASE SUMMARY: Claimant alleged that respondents misrepresented th

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Loretta Brown Claimant vs . CASE #91-01818 AWARD PaineWebber, Inc. Don Rauscher, Jr. Respondents CASE SUMMARY Claimant Loretta Brown, pro se, in a claim filed with the National Association of Securities Dealers, Inc. on June 11, 1991, alleged that Respondents PaineWebber, Inc. and Don Rauscher, Jr. executed an unauthorized purchase of 1,000

N.A.S.D. AWARD NATIdttL ASSCdXTI.CK OF SBOTOTISS In the Matter of the Arbitration Between Of FredW. Alber 91-01817 Prudential-Bacbe Securities Inc. n/k/a Prudential Securities Incorporated Bob Brow Robert For Claimant: Fred W. Alber vas represented by lawreoce R. Gelber, Esq. of Beigel & Sandier, Ltd., New York, New York. For Respondents: Prudential-Bacha Securities, Inc., n/k/a Prudsntial Securities Tnootyoiated, Robert Budgins and