Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tejwinder S. Kahlon, Claimant v. Fidelity Brokerage Services, Inc., Respondent Case Number: 00-04631 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David Liebrader, Esq. The Law Offices of David Liebrader Irvine, California For Respondent: W. Douglas Kari, Esq. Brian H. Newman, Esq. Orrick, Herrington & Sutcliffe LLP Los A

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Denoco Holdings B.W.I. Ltd. and David M. Baum, (Claimants) vs. Lee Michael Shapiro, Denise Marie Shapiro, and Parker Bromley Ltd., (Respondents) Case Number: 00-00472 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Denoco Holdings B.W.I. Ltd. ("Denoco") and David M. Baum ("Baum"), hereinafter collectively referred to as "Claimants": Douglas S. Trokie, Esq

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Sheldon R. Blum, (Claimant) vs. Olde Discount Corporation and Craig Wisbiski, (Respondents). Case Number: 00-00055 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Sheldon R. Blum: Represented himself. Olde Discount Corporation and Craig Wisbiski: Timothy N. Will, Esq. Albert & Will Torrance, California CASE INFORMATION Statement of Claim filed on

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Lynne Tanya Tull, Individually and as Trustee for the Tull Family Trust NASD Arbitration v. No.95-01314 Name of Respondents Bear Stearns & Company, Lyndon Parker, Rebecca Rothstein REPRESENTATION For Claimant: Michael A. Bertz, Esq. Los Angeles, California For Respondents Bear Stearns & Company Michael M. Gless, Esq.

.N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Clai Theodore Desch 95-01312 Name of Respondents M. Rimson & Co., Inc.; James (Igor) Shekhtman REPRESENTATION For Claimant: Theodore Desch ("Desch") was represented by Craig R. Thorstenson, Esq. of Thorstenson & Wetzel, located in Chicago, Illinois. For Respondents: Respondents M. Rimson & Co., Inc. ("M. Rimson' 1 ) and Jam

NASD Arbitration No. 95-01309 N.A.S.p. AWARD NATIONAL ASSOCIATION OP SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of C^. aimant (a)_ Jeffrey D. Esfeld Nam,e .of Respondent (si Paragon Capital Corporation Timothy B. Daley REPRESENTATION Par Claimant: H. Troy Romero, Esq., Vance & Romero, P.S,, Bellevue, Washington For Respondents: David S. Smith, Esq., Smith Campbell & Paduano, New York, New York CASE

NASD REGULATION, INC. AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name ojr Qaimantfe) Marc A. Helie Name of Respondents) Merrill Lynch Pierce Fenner & Smith Inc Manuel Mejiaaoun 95-01297 REPRESENTATION For Claimant Marc A. Helie ("Helie") appeared Jeffrey L. Liddle, Esq., Lauremce S. Moy, Esq. and Carl G. GuidaJEsq. of the law office Liddle & Robinson located in New York, New York. — ~3m * - «—- • For

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Naomi Spivey 95-01292 Name of Respondent Linsco/Private Ledger Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 14, 1995, Claimant Naomi Spivey ("Claimant"), through counsel T. David Hasbrook, Esq., of Woska, Hasbrook, Dowd, Underwood & Helms, located in Oklahoma City, OK.,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Peter Palmieri 95-01290 Name of Respondents Mercer Securities, Ltd. Estate of Stephen J. Schappell REPRESENTATION For Claimant Peter Palmieri ("Claimant"): Ronald L. Daugherty, Esq. of the law firm of White and Williams, Philadelphia, PA Respondent Mercer Securities, Inc. ("Mercer") is out of business and was unrepresented

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Roger Reinhart 95-01289 Name of Respondents Mark A. Halperin South Richmond Securities,Inc. Michael Montelli REPRESENTATION Claimant Roger Reinhart ("Claimant") appeared pro se Respondent Mark A. Halperin ("Halperin") appeared pro se Respondent South Richmond Securities, Inc. ("SRSI") did not appear at the hearing