Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Gladstone Wood, Claimant v. Hampton-Porter Investment Bankers and David C. Adams, Respondents Case Number: 00-005373 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: For Respondent David C. Adams: For Respondent Hampton-Porter Investment Bankers: Timothy A. Canning Law Offices of Timothy Canning Novato, California Appearing at

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Robert E. Steele and Jeannine A. Steele, formerly known as Jeannine A. Cunningham v. Name of Respondent Kidder, Peabody, Inc. Arbitration No. 96-00453 For Claimants: For Respondent: Statement of Claim filed: REPRESENTATION Philip M. Aidikoff, Esq., and Robert A. Uhl, Esq. Aidikoff & Uhl Beverly Hill

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant D. H. Brooks, Jr. 96-00438 Name of Respondents NationsSecurities Brad A. Palmer CASE SUMMARY In a claim filed with the National Association of Securities Dealer, Inc. on January 30, 1996, Claimant D.H. Brooks, Jr, ("Claimant"), who appeared Pro Se, alleged that Respondents NationsSecurities ("NationsSecurities") and Brad A.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between, Name of Claimant The Ohio Company 96-00433 Name of Respondent John R. Trickett REPRESENTATION Claimant The Ohio Company ("Claimant") was represented by Marion H. Little, Jr., Esq., Zeiger & Carpenter, Columbus, OH. Respondent John R. Trickett ("Respondent") did not appear. CASE INFORMATION The Statement of Claim w

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES HFAT.ERS. INC. In the matter of the Arbitration Between Name of Claimants') Josephine V. Collins Name of Respondent^ Bill Google LaJolla Capital Corporation Len Harris NASD Arbitration No. 96-00428 REPRESENTATION For Claimant: For Respondent Bill Coogle: For Respondent LaJolla Capital Corp. For Respondent Len Harris: Appearance in pro per Appearance in pro per, by

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry Fischer, Barry Fischer c/f Bennett Fischer, Claimant v. Prudential Securities Incorporated and Nace Benun, Respondents. Case Number: 00-05368 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Barry Fischer Los Angeles, CA For Respondents: Renee Kwait Rettig Prudential Securities Incorporated. New York, NY CASE INFORMAT

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Harry J. York, Jr. Sharon A. York vs. NASDR Arbitration No.96-00420 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimants: Stephen D. Whittaker, Esq., Kailua-Kona, Hawaii. For Respondent: Jeffrey S. Portnoy, Esq., Cades Schutte Fleming & Wright, Honolulu, Hawaii.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Robert Mull Claimant NASD Arbitration v. No. 96-00413 Edward Grey Respondent REPRESENTATION OF PARTIES Robert Mull ("Claimant") was represented by Robert A. Fink. Esq.. San Diego, California. Edward Grey ("Respondent") was represented by Leslie Akins. Esq., Duckor Sprading & Metzger, San Diego California. CASE INFORMATION Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES pEALERS. INC. In the matter of the Arbitration Between Name of Gael Lehrer Livne and Sam Livne NASD Arbitration v. No.96-00407 Name of Respondents Michael Finizio and Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: in pro per For Respondents: Curt H. Mueller, Esq. Dean Witter Reynolds, Inc. San Francisco, California CASE INFORMATION Statement of Claim filed: January 2

* NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael Green 96-00401 Name of Respondents Investors Associates, Inc. Joseph Longer Carlos Bertran REPRESENTATION For Claimant, Michael Green ("Claimant"), appeared Richard Daniel De Vita, Esq. a sole practitioner located in Hoboken, New Jersey. For Respondents, Investors Associates, Inc. ("IAI"), Joseph Langer ("Langer") and