Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dr. M. Amirul Islam, (Claimant) vs. Quick & Reilly, Inc., (Respondent) Case Number: 99-04041 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimant, Dr. M. Amirul Islam, hereinafter referred to as "Claimant": Marc S. Henzel, Esq., a sole practitioner, Philadelphia, PA. Previously represented by: Anthony J. Horn, Esq., a sole practitioner, Philadelphia, PA.

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ruby Standage (Claimant) vs. Norwest Investment Services, Inc. and Bruce Shafer (Respondents). Case Number: 99-04038 Hearing Site: Dallas, Texas Claimant, Ruby Standage, ("Claimant"): Patrick J. Kanouff, Esq.: Davis & Ceriani, Denver, Co. Respondents, Norwest Investments Services, Inc. and Bruce Shafer ("Respondents"): John S. Lutz, Esq., LaBoeuf, Lamb Green & MacRae, Denv

N.A.S-D, REGULATION AWARD NATIONAL ASSOCIATION OF Sgffffi^T^IES DEALERS REGUL^JION. INC. CASE: 99-04037 Elizabeth Pecoraio-James, claimant vs. San Clements Securities, Inc., Allen and Munvy Financial Services, Carol May Allen, and Elate Somerset Murray, respondents. ATTORNEYS: ~ Claimant Elizabeth Pecotaro-James ("Claimant"), appeared Pro Se. f Daytona Beach, Florida. For Respondent San Clemente Securities ("San Clemente"), Bradley S. Pauley, Paul,

N.A.S.D, REGULATION, INC. AWARD CASE:98-00494 Earl F. Smith, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant appeared Pro Se. - Riverside, CA. For respondent appeared James A. Ricketts - Omaha, NE. DATE FILED: 2/9/98 CASE SUMMARY: Claimant alleged failure to execute. Claim Data Award Data Claim: $3,075.00 Award: $375.00 Interest: Requested , Interest: 10% 9/23/97 - 9/23/98 Filing Fees: $.00 Filing Fees: $125.00 Other: $.00 Other

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Frances R. Bradley, individually and as trustee of the Frances R. Bradley Revocable Trust 98-00492 Names of Respondents Josephthal Lyon & Ross, Inc. n/k/a Josephthal & Co., Inc. and Carol Phillips REPRESENTATION For Claimant Frances R. Bradley, individually and as trustee of the Frances R. Bradley Revocable Trust: Brenda M. Combs, Esq. of Willia

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00491 Frances O'Donald, claimant vs. Bailey Spears and Schneider Securities Inc., and James R. Shaw respondents. ATTORNEYS: Claimant appeared Pro Se. - Neptune Beach, FL. Respondent Bailey Spears appeared Pro Se. - Norcross, GA. For respondent Schneider Securities, Inc. appeared Siegfried Duray-Bito - Denver, CO. Respondent James R. Shaw is not a member and did not agree to submit to arbitration. DATE FILED

. AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant James J, Weber v. Arbitration No. 98-00490 Name of Respondents European Community Capital, Ltd., Anthony Duque, Marc Freeman, Jeffrey Lefkowitz, Alfred Bromberg, Joseph Krochak, First United Equities Corp., James Pelizzi, Jason Cohen, Jonathan Winston, Frank Giacchetto, and Douglas Traynor REPRESENTATION For Claimant: Jay R. Stein, Esq.

NASD REGULATION. ISC In the matter of the Arbitration Between Name of Claimant fa) James Frederick Easter Arbitration No. 98-00482 £Jame,_pf_ Respondent fs). Gary Teran REPRESENTATION For Claimant: P. Bruce Badger, Esq., Fabian & Clendenin, Salt Lake City, Utah For Respondent: Samuel Y. Edgerton, III, Esq., Nash & Edgerton, Hermosa Beach, California CASE INFORMATION Statement of Claim filed: February 6, 1998 Claimant's Submis

i STIPULATED AWARD NASD Dispute Resolution, Inc. %, /, c>2__ In the Matter of the Arbitration Between Name of Claimant Brenda Andreas Case No. 00-05457 Name of Respondents UBS PaineWebber, Inc. Hagood Clarke, HI Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Brenda Andreas ("Andreas"), hereinafter referred to as "Claimant": Russell C. Silverglate, Dickenson, Murphy, Rex and Sloan, Boca Raton, Florida. For UBS Pai

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Alexander Centre International Brokers, Inc. 98-00479 Name of Respondents Murphy & Durieu Richard J. Murphy Thomas McKee Richard Ricciardi REPRESENTATION For Claimant Alexander Centro and International Brokers, Inc. ("Claimants") appeared Jacob H. Zamansky, Esq. a sole practitioner with offices located in New York, New York. For Respondents