Stipulated Award NASD DisputerResolution* Inc. In the Matter of the Arbitration Between: Louise £. Pliego, Claimant v. Paine Webber, Incorporated and David Van Acker, Respondents Case Number: 99-04456 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans & Associates Los Angeles, CA 90071 For Respondents: Gregory E. Oopetand, Esq. '"- ' : vie of ; -.;' P

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04454 Joseph and Gail Yankauskas, claimant vs. TD Waterhouse Securities, Inc., respondent. ATTORNEYS: Claimants Joseph and Gail Yankauskas, ("Claimant"), appeared Pro Se., Forked River, NJ. For Respondent TD Waterhouse Securities, Inc. ("Respondent"), appeared Janis Campanella, Esq., of TD Waterhouse Investor Services, Inc. New York, NY. DATE FILED: September 30, 1999 CASE SUMMARY

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:99-04453 Olde Discount Corporation, claimant vs. Julie George & Forrest E. George, respondents. ATTORNEYS: For Claimant appeared Aaron L. Kleid, Esq., in-house counsel, Detroit, MI. Respondents did not submit a response to the Statement of Claim. DATE FILED: September 30, 1999 CASE SUMMARY: Claimant alleged that respondents have failed to repay the debit balance in their joint account.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Elizabeth and Francis Colombo, (Claimants) vs. The Stamford Company, Inc., Bartholomew A. DeCicco, Richard F. Fletcher, Franco Desideri, Robert J. Figliozzi; Gabriel M. Bernaschina, and Vincent R. Drohan, (Respondents) Case Number: 99-04452 Hearing Site: New York, New York I REPRESENTATION OF PARTIES Claimants, Elizabeth and Francis Colombo, hereinafter collectively referred t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan L. Monaco and the Marcia Rose Monaco Supplemental Needs Trust, (Claimants) vs. Marshall D. May, (Respondent) Case Number: 99-04451 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Susan L. Monaco ("Monaco") and the Marcia Rose Monaco Supplemental Needs Trust ("Trust"), hereinafter collectively referred to as "Claimants": Paul R. Williams, Esq., Sc

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Jenifer M Robinson, Individually and as Executrix of the Estate of Robert V. Robinson _ First Allied Securities, Inc. Mildred KBeftz First Affied Securities, Inc. Case No. 99-04441 (Master Case) In the Matter of the Arbitration Between nf Platmant Case No. 99-03828 (Subordinate Case) In the Matter of the Arbitration Between David Hickey and Jean Hick

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roger Carlsten, (Claimant) vs. Oscar Gruss & Son, Inc. and Broadband Capital Management, LLC, (Respondents) Case Number: 00-05493 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, Roger Carlsten, hereinafter referred to as "Claimant": William A. Jacobson, Esq., Kaplan & Jacobson Inc., Providence, RI. Respondent, Oscar Gruss & Son, Inc. ("Gruss"): Robe

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04434 San Diego Diagnostic Radiology Medical Group Retirement Trust, claimant vs. Drake & Co., Inc., PaineWebber Inc. & Correspondent Service Corporation, respondents. ATTORNEYS: Claimant San Diego Diagnostic R.M.G. Retirement Trust appeared through its trustee California Bank and Trust f/b/o David Katzman, La Jolla, CA. For Respondent Drake & Company, Inc. appeared in-house counsel, D

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michelle Marano, (Claimant) vs. Randall Gibbs and BTU Brokers, LLC., (Respondents). Case Number: Hearing Site: 99-04432 Houston, Texas REPRESENTATION OF PARTIES Claimant, Michelle Marano ("Marano"), hereinafter referred to as "Claimant": R. Vince Glauser, Esq., Houston, Texas. Respondents. Randall Gibbs ("Gibbs") and BTU Brokers, LLC. ("BTU"), hereinafter collectiv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: M.C. Keithley, Individually and as Beneficiary of the M.C. Keithley IRA Rollover, Claimant v, Salomon Smith Barney, Inc. and David Scott, Respondents Case Number: 99-04425 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Jonathan W. Evans & Associates Los Angeles, California For Respondents: Etta M. Gumbs, Esq. S