Award NASD Dispute Resolution In the Matter of the Arbitration Between: Pase Number 99-042 1 3 L. R. Castelein Name of the Respondents Hparintr Site- Charlotte, North Carolina Bear Steams & Co., Inc., Bear Stearns Securities Corp., Douglas W. Reid, and Corporate Securities Group, Inc. n/k/a Wachovia Securities Financial Network, Inc. RFPRFSFMTATTON OF PARTTFS Claimant L.R. Castelein, hereinafter referred to as "Claimant", was represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kathy Phelps and David H. Gaskin, Richard Coomer, Lola M. and George A. Coomer, Lisa S. and Dennis R. Loy, Terry P. Harvey, Judy and James E. Watson, Mary B. and William R. Phelps, and Eula Loy, Claimants Vs. Danny L. Coomer, Fortis Investors, Inc., and CUNA Brokerage Services, Inc., Respondents Case Number: 99-04206 Hearing Site: Louisv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Charles Hijjgins, John Fagot, Arlene Schmimmer, Ray Blumer, S & V Associates, Alan Dillenberg, Yesterday Amusement Co., Inc., Phil Virga, Cliff Mastricola, John Bascom, Neil T. Callaway, Robert Davison, John Franz, Don Gustafson, Dennis Goldman, Mark Lacob, Paul Mental, and Craig Birkelbach, Claimants v. The Boston Group, Brookehill Equities, Inc. and Joseph M. Salvani, Respondent

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05473 Summit Financial Services Group, Claimant vs. Jennifer E. Dove, Respondent. ATTORNEYS: Claimant, Summit Financial Services Group, appeared through its in-house counsel, Christopher Maurer, Bethlehem, PA.. Respondent, Jennifer E. Dove, did not respond to the Statement of Claim. DATE FILED: December 11, 2000 CASE SUMMARY: Claimant alleged Respondent unjustly profited from Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jasbir Singh, Jaswinder Kaur, and Mohan Singh, Claimants v. Thomas F. White & Co., Inc., Sunil De Silva, and Round Hill Securities, Inc., Respondents Case Number: 99-04203 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: For Respondent Thomas F. White & Co., Inc. For Respondent Sunil De Silva: For Respondent Round Hill Securities, Inc.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph Huang and 99-04201 Minneapolis, Minnesota Name of Respondent Scottsdale, Securities, Inc. REPRESENTATION OF PARTIES Joseph Huang ("Claimant") was represented by John A. Murray, Esq., Sjoberg & Tebelius, P.A., Woodbury, Minnesota. Scottsdale, Securities, Inc. ("Respondent") was represented by Mark Finnegan and Jim Sheehan, Scottsdale Securitie

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Eric Rothchild, M.D. Names of Respondents Noble International Investments, Inc. Noble Investment Co. of Palm Beach William Baumner Case No. 99-04200 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Eric Rothchild, M.D. ("Rothchild"), hereinafter referred to as "Claimant": Lloyd R. Schwed, Esq., Kubicki Draper, West

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Richard M. Mitchell, Claimant vs. Salomon Smith Barney, Inc. and Citigroup, Inc., Respondents. Case Number: 99-04198 Hearing Site: Louisville, Kentucky REPRESENTATION OF PARTIES Claimant, Richard M. Mitchell ("Mitchell"), was represented by Joseph J. Dehner, Esquire, of Frost & Jacobs, LLP, Cincinnati, Ohio. Respondents, Salomon Smith Barney, Inc. ("Smith Barney"), and Cit

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC> CASE: 99-04196 Stanley M. Levin, Claimant vs. Michael DiFrancesca, Douglas Policino, George Malagon and Leland Swift, Respondents. ATTORNEYS: Claimant, Stanley M. Levin, ("Claimant"), appeared Pro Se. ? Falls Church, VA. Respondent, Douglas Pollicino, ("Pollicino"), appeared Pro Se., East Norwich, NY. Respondent, Leland Swift, ("Swift"), appeared through Dr, Jerome Stenehjem, San Diego,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04195 William C. Needier and Doris Needier Jt. Ten., Claimants vs. Cambridge Capital, LLC vs. Jacob Feder, Respondents. ATTORNEYS: For Claimants William C. Needier and Doris Needier ("Claimants"), appeared Steven J. Nelson, Esq., of the firm Newman & Nelson, Inc., Covina, CA. For Respondent, Cambridge Capital LLC, ("CCL"), appeared Mark F. Magnozzi, Esq., of the firm Helfand & Helf