AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants') Gabrielle Rhodes Handler, and Michael Scott Handler, individually, and as trustees for the Gabrielle Rhodes Handler Revocable Trust and Michael S. Handler Revocable Trust, and as custodians for the Stacy Nicole Handler UGMA Account and David Eric Handler UGMA Account and 99-05200 Kansas City, Missouri Name of Respondent(s) Morgan Stanley Dean Witter

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant(s) Jeffrey Schlegei & Martha McKibben and 99-05198 Tucson, Arizona Name of Respondents) First Liberty Investment Group, Inc. Peter Laurella Michael Palmer Richard E. Madison, Jr. Chintu Dalvi REPRESENTATION OF PARTIES Jeffrey Schlegei & Martha McKibben ("Claimants") were represented by George O. Krauja, Esq., Fermemore Craig, Tucson,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William Donovan and Cheryll Donovan, (Claimants) v. J.B. Sutton Group, Inc. and Bill Grundig, (Respondents) Case Number: 99-05196 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant William Donovan and Cheryll Donovan ("Donovan"): Peter W. Vogt, Cozen & O'Connor: Charlotte, North Carolina. Respondent J.B. Sutton Group, Inc. and Bill Grundig ("Grundig") h

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alfa MDG Corporation, (Claimant) vs. E*Trade Securities, Inc., (Respondent) Case Number: 99-05193 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Alfa MDG Corporation, hereinafter referred to as "Claimant": Philip M. Giordano, Esq., Giordano & Champa, P.A., Boston, MA. Respondent, E*Trade Securities, Inc., hereinafter referred to as "Respondent": Paul S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name, of the Claimant Case •Miimhftr: 00-05543 Brian Krause nf the Tiespnndents Hearing Site! Houston, Texas Signal Securities, Inc., and Southwest Securities, Inc. Claimant Brian Krause hereinafter referred to as "Claimant": Michael Stanley, Esq. of Berine, Maynard & Parsons, L.L.P. located in Houston Texas. Respondent Signal Securities, Inc., ("Signal"): Gilbert W. Boyce

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Alan Tossman & Sandra Falck Tossman Case No. 99-05192 Name of Respondents Ferris, Baker Warts, Inc. Jerald M. Lewis REPRESENTATION OF PARTIES Claimants, Alan E. Tossman and Sandra Flack Tossman, hereinafter collectively referred to as iU< Cla^ O-;i;];.''.jif"O Respondents, Ferris, Baker Watts, Inc. and Jerald M. Lewis, hereinafter collectiv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., Claimant v. Rebecca A. Hooker, Respondent Case Number: 99-05185 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Sue Junn, Esq. Kern & Gonzalez Los Angeles, California For Respondent: Richard J. Papst, Esq. Law Offices of Richard J. Papst Bakersfield, California CASE INFORMATION Statement of Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christos Grigoriou, Catherine Grigoriou, and the Grigoriou Family Limited Partnership, (Claimants) vs. Tucker Anthony Incorporated and Mark E. Deming, (Respondents) Case Number: 99-05182 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Christos Grigoriou, Catherine Grigoriou, and the Grigoriou Family Limited Partnership, hereinafter collectively referred t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James W. Herrick, (Claimant) vs. Gaines Berland, Inc. and Bryan Brush, (Respondents) Case Number: 99-05178 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, James W. Herrick, hereinafter referred to as "Claimant": Timothy T. Tucker, Esq., a sole practitioner, Medford, MA. Previously represented by: Paul J. Sevffert, Esq., a sole practitioner, Wilmington,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alvin Schubert and Elfriede Schubert, (Claimants) vs. Whale Securities Co., L.P., Barington Capital Group, L.P,, Bear Stearns & Co., Inc., LNA Capital Corp., Jesse Bromberg, James A. Mitarotonda, Edwin Kantor, Mark Cooper, James N. Giordano, Jerome Snyder, John Rizzo, and John Telfer, (Respondents) Case Number: 99-05177 Hearing Site: New York, New York REPRESENTATION OF PARTIE