Award NASD Dispute Resolution, Inc. In ihe Matter of the Arbitration Between: Lyle Howard Peters DPM PC Trust, Dr. Lyle Peters c/f Wendy Peters, Dr. Lyle Peters c/f Alyssa Peters, Dr. Lyle Peters c/f Eric Peters, Dr. Lyle Peters c/f Adam Peters, Beth Peters, and Dr. Lyle Peters, (Claimants) vs. Smith Barney, Inc. and Stuart Reyman, (Respondents) Case Number: 98-00366 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lyle Howard Peter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Andrew N. Cassas Case No. 00-05437 Hearing Site: Boca Raton, Florida Name of Respondent Andrew G. Costa REPRESENTATION OF PARTIES For Andrew N. Cassas ("Cassas") hereinafter referred to as "Claimant"; Alan J. Foxman, Esq., Boca Raton, Florida. For Andrew G. Costa ("Costa") hereinafter referred to as "Respondent": Wayne H. Schwartz, Esq., For

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between William J. Somerville, Mary Lou Somerville, Jon M. Somerville, and Jennifer A. Somerville and 00-00546 Troy, Michigan Sigma Financial Corporation Hansen & Hansen, Inc., Jerome S. Rydell, Michael J. Brooks, and Wayne H. Hansen REPRESENTATION OF PARTIES William J. Somerville, Mary Lou Somerville, Jon M. Somerville and Jennifer A. Somerville, collectively referred to as

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between t Quick & Reilly, Inc., Claimant v. 98-365 Dennis Sawinski, Respondent / Third-Party Claimant v. Brad Michael Nirenberg and D.L. Cromwell Investments, Inc., Third Party Respondents REPRESENTATION OF PARTIES Claimant Quick & Reilly, Inc. ("Q&R") was represented by Miles D. Hart, Esq., of Hertz Schram & Saretsky, P.C., located in Bloomfield, Michigan. Resp

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Richard Coie, General Partner, Cole Family Partners, LP Jai Gaur Joan M. Gil Jim Noonan Robert Patron Mark Schlefer Ronald Suster vs. Case No. 98-00360 Name of Respondents Duke & Co., Inc. Lawrence Rosenberg Victor Wang Salvatore Saporito REPRESENTATION For Claimants Richard Cole, General Partner, Cole Family Partners, LP ("

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ralph Tamm Case Number and 98-00359 Name of Respondents Janney Montgomery Scott, Inc. Rayfield J. James, Jr. REPRESENTATION OF PARTIES For Ralph Tamm (" Claimant") appeared Theodore H. Jobes, Esq., of the law firm Fox, Rothschild, O'Brien & Frankel, LLP, located in Philadelphia, PA. For Janney Montgomery Scott, Inc. ("Janney") appeared Alexander D.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between: Name of Claimants Dean Wynn, Margaret Wynn and Quentin J, Fields, and . . 98-00357 Name of Respondent WMA Securities, Inc., • REPRESENTATION OF PARTIES Dean Wynn, Margaret Wynn and Quentin J. Fields (collectively as "Claimants") were represented by Kalju Nekvasil, Esq. and Stephen Krosschell, Esq., Goodman & Nekvasil, P.A., Clearwater, Florida and Patrick G. Moeller, Esq.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00355 Dean Witter Reynolds, Inc., claimant vs. Paul Stephanian, respondent. ATTORNEYS: For claimant appeared Linda Gallagher, Esq. - New York, NY. Respondent Paul Stephanian did not appear. DATE FILED: 1/29/98 CASE SUMMARY: Claimant alleged breach of training agreement. Claim Data Award Data Claim: $10,000.00 Award: $.00 Filing Fees: $575.00 Filing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret C. Howard (Claimant) v. Donald & Co. Securities, Inc. (Respondent) Case Number: 98-00353 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Margaret C. Howard ("Howard") hereinafter referred to as "Claimant": Stephanie R. Cooper, Esq., Moses & Singer, LLP, New York, NY. Respondent Donald & Co. Securities, Inc.

, Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds Inc., (Claimant) vs. Henry Leong, (Respondent). Case Number: 98-00351 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Dean Witter Reynolds, Inc., hereinafter referred to as "Claimant": Michael A. Kraft, Esq., Gomberg Kane & Fischer, Ltd, Chicago, Illinois. Respondent Henry Leong, hereinafter referred to as "Respondent" was pro se. CASE INF