H.A.S.D._ 7 .AWWRD NATIONAL ASSOCIATICN OF SECURITIES DEALERS In the fitter of the Arbitration Between Harry vs. 91-01991 Shearson T^Vwan aitton, Inc. Stan Zicklin For Claimant: Ttanas M. Ccnparet, Esq., Los Angeles, California. For Respondents: Michael M. Glass, Esq., Keesal, Young & Logan, Long Beach. California. OMSK Statement of rna-im filed: June 26, 1991. Claimant's Submission Agreement signed on: August 15, 1990 Joint

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, In the Matter of the Arbitration Between Name of Claimant E. anri Tarry D. T-amaTma 91-01989 Name of Respondent Prudential Securities, Inc. - - --**- Richard D. Chegar Jerry C. For Claimants: Claimants were represented by Steve Coons, Esq. of Coons & TrvM aTtaprO ^ g f TnriH ana . Par Respondents: pagfyip*ifl"*-]g were r^'i*jff* ri *'P r ^ by David C* Camp

Arbrtration National Association of M A q n AWARD Securities Dealers, Inc. J.N . /-I . O . U . nruUUJ *.iAi-ii-v ,-• • i /-i . NASD Financial Center _ _ 33 Whitehall Street NATIONAL ASSOCIATION OF SECURITIES DEALERS New York. N.Y. 10004 FAX (21 2) 858-4389 In the Matter of the Arbitration Between Name o£ Claimant Benjamin A. Wisniewski, etal. 91-01988 Name of Respondents First Investors Corporation Peter Franco For Claimant

Arbitration ® N.A.S.D. 20BSD NKTICNMi ASSOCLKTKW QP SBCDRITIES DEALERS. In the Matter of the Arbitration Between Name o£ Bums M. Gregg Name of Respondent (s) 93 Shearson Brothers, Inc. Robert F. Sanders Par Claimant: For Respondent: John P. Connolly, Esq Michael. Solinsky, Esq law fiim of Lord Day CASE Statement of Claim filed: JMne 27, 19S1 Memorandum of Claimant Regarding Section filed: September 23,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert R, Greenough and Karen Joan Greenough, (Claimants) vs. Solid ISG Capital Markets, LLC and Ronald G. Richer, (Respondents) Case Number: 00-05212 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Robert R. Greenough ("Mr. Greenough") and Karen Joan Greenough ("Mrs. Greenough"), hereinafter collectively referred to as "Claimants": John J. Phelan, IE, Esq., PC,

08/15/02 THU 08:13 FAX NASD REGULATION i)002 STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Angelo and Lauren Buttazznni and 99-04705 Detroit, Michigan OLDE Discount Corporation, and Joseph Drew Sheeran RFPRFfiFNTATinN QF PARTiFS Angelo and Lauren Buttazzoni ("Claimants") were represented by Mark L. Kowalsky, Esq., Hertz, Schram & Saretsky, P.C., Bloomfield Hills, Michigan. H&R Block Financial Adv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Kathryn Judith Koch Case No. 99-04703 Names of Respondents James C. Taylor Southern Financial Group, Inc. REPRESENTATION OF PARTIES Kathryn Judith Koch, hereinafter referred to as "Claimant", appeared pro se. For Respondent Southern Financial Group, Inc. ("SFG"): Russell L. Forkey, Esq., Ft. Lauderdale, FL. Respondent James C, Taylor ("Taylo

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Al Monjazeb, Claimant v. National Securities Corporation, Jody Balmer and Garrick Gowing, Respondents Case Number: 99-04697 Hearing Site: Seattle, WA REPRESENTATION OF PARTIES For Claimant: G. Michael Zeno, Jr., Esq. DAVIDSON, CZEISLER, KILPATRIC & ZENO, P.S. Kirkland, WA For Respondents: Patrick L. Hinton, Esq. HINTON & ROTH Seattle, WA CASE

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alisos Credit Union, Claimant v. Morgan Grant Capital Corp., Respondent Case Number: 99-04693 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: R. Jeffrey More, Esq. Coleman, Rhine & Goodwin LLP New York, New York For Respondent: Did Not Appear CASE INFORMATION Statement of Claim filed: October 7,1999 Claimant's Uniform Submission Ag

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04685 Leon F. and June R. Huebner, Claimants vs. Karen Elizabeth Weisberg, Respondent ATTORNEYS: Claimants, Leon F. and .Tune R. Heubner ("Claimants"), appeared Pro Se., Lansdale, PA. Respondent, Karen Elizabeth Weisberg ("Respondent"), appeared Pro Se., Mount Laurel, NJ. DATE FILED: October 18, 1999 CASE SUMMARY: Claimant alleged Respondent was negligent, and employed deceptive pr