SENT BY: 6-14-93 ;ll:37AM ;NASD ARBITRATION DPT- 12122087581;# 8/31 REQUIATTON. INC.. OFFICE OF DISPTTPE RESQLtTTIOM In che matter of the Arbitration Between Name of Claimant(a1 Henry Koch Arbitration NO. 96-03577 of Reapfinrtent: fsi A.G. Edwards & Sons, Inc. John Herman REPRESENTATION For Claimant: Arthur S. Leider, Investors Arbitration Specialists, Inc., San Diego, California For Respondents: Jeff Jamieson, Esq., A.G. Edw

N.A.S.D, REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 96-03570 Pentz Revocable Living Trust, claimant v. Lew Lieberbaum & Co., Inc., Ronald B. Dorushkin and Elliot Gayer, respondents. ATTORNEYS: For Claimant Through it's trustee, Northport Beach, CA. For Respondents Lawrence Sandor, Esq., Garden City, NY. DATE FILED: August 19, 1996 CASE SUMMARY: Claimant alleged failure to execute sell order for stock a

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Muriel Converse, as Trustee of Market Research Associates, Inc. Retirement Trust 96-03568 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith Inc CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on August 19, 1996, claimant Muriel Converse, as Trustee of Market Research Asso

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Jack and Betty Mason, Trustees for the Mason Living Trust Claimants, and Securities Service Network, Inc., Summit Brokerage Services, Inc. and Richard L. Parker Respondents. Case No. 96-03566 REPRESENTATION OF PARTIES Claimants, Jack and Betty Mason, Trustees for the Mason Living Trust ("Mason"), was represented by Richard C. Downing, Es

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the maiter of the Arbitration Between Name of Claimant Richard E. Riley v. Arbitration No. 96-03564 Name of Respondents David Weiss, John E. Klingenmeier. Roger H. Chlowitz. Peter L. Singer, Michael A. Jones For Claimant: REPRESENTATION Ricki C. Ring, Esq. Law Offices of Ricki C. Los Angeles, California For Respondent John E. Klingenmeier: For Respondent Roger H

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Mathew J. Letich and Ruth Witter Successor Trustee and Attorney in Fact Under Durable Power of Attorney for the Mathew J. Letich Family Trust 96-03562 Name of Respondents Prudential Securities, Inc. Joyce A. Shera REPRESENTATION For Claimants: John P. Graves, Jr., Esq. of the law offices of Graves & Palmer Chartered an

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05160 Fidelity Brokerage Services, Inc., Claimant vs. David Mitchell, Respondent. ATTORNEYS: For Claimant, Fidelity Brokerage Services, Inc. ("Claimant") appeared Laurence K. Richmond, Esq. of the firm Laurence K. Richmond & Associates, P.C., Quincy, MA, Respondent, David Mitchell, ("Respondent"), did not respond to the Statement of Claim. DATE FILED: November 21, 2000 CASE SUMMARY

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert and Lorraine Liere, (Claimants) vs. Milestone Financial Services, Inc. and Edward Cahill, (Respondents) Case Number: 00-00523 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert and Lorraine Liere, hereinafter collectively referred to as "Claimants": Robert J. Cava, Esq., Law Offices of Robert J. Cava, P.C., West Babylon, NY. Respondents, Mi

Arbitration & Mediation National Association of Securities Dealers,Inc. * NASD Financial Center * 33 Whitehall Street * New York.NY 10004 * Fax 212-858-4429 Washington DC Satellite office at: 1735 K Street, NW * Washington, DC 20006 * Fax 202-728-6952 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Lester L. Stone and Edward M. Stone 96-03559 Name of Respondent E*Trade Securiti

SECOND AMENDED AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Baraban Securities Incorporated v. Arbitration No. 96-03555 Name of Respondents Western International Securities, Jon Hogen, Scott Werner, Hans Aebischer, Andrew Lais, Martha Thompson, Vincent Anthony Free, Donald Michael Bizub, Curtis Alan Roberts, and Charles Alexander Wright v. Name of Third Party Respondents Joseph Gerace,