Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between James L. Fulton, claimant and Case No. 99-02010 Wheat First Securities, Inc., J. Edward Smith and Casimir J. Kamish, respondents PEPRESENTAT7QN OF PARTIES . Claimant, James L. Fulton (Claimant" or "Fulton"), was represented by Ricbard Z. Freemann, Jr., Esquire, of the Law Offices of Richard Z. Freemann, Jr., Philadelphia, Pennsylvania. Respondents, Wheat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Joseph Walsh, (Claimant) vs. Knight Securities, Inc. and Trimark Securities, L. P., (Respondents) Case Number: 99-02005 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Joseph Walsh, hereinafter referred to as "Claimant", appeared pro se. Respondent, Knight Securities, Inc. ("Knight"); Thomas M. Merritt, Esq., Assistant General Counsel, Knight Securitie

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Dr. Charles Passet DPM PC Money Purchase Pension Plan & Trust and Dr. Charles Passet IRA (Claimants) v. GKN Securities Corp., Wertheim Schroder & Co., Pendrick Reeves Associates, Inc., Bruce Rubin, Elliot Kurz, Vincent Bruno, David Nussbaum, Robert Gladstone, Roger Gladstone (Respondents) Case Number: 99-02001 Hearing Site: New York City, New York Nature of the Dispute: Customers vs

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Frank Paini Christine Wachter Case No. 99-01997 Name of Respondents First Liberty Investment Group David A. Dudkin Hearing Location: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Frank Paini and Christine Wachter, hereinafter collectively referred to as "Claimants": Ralph A. Gant, Esq., New York, NY. Respondent, First Liberty In

Award NASD Dispute Resolution, Inc. of the In the Matter Ferer 1988 Lividj Surawa, Respondents Case Number: 1 Arbitration Between: Trust, Claimant v. First Union Securities, Inc., Dennis B. Dummit and Ernest Hearing Site: Los s, California REPRESENTATION OF PARTIES For Claimant: For Respondent^: Alan Buckholtz, Esq. Law Offices of Buckholtz & Associates Woodland Hills, California Michael M, Gless, Esq. Kee

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Tim Demkin, (Claimant) vs. A.S. Goldmen & Company, Inc., (Respondent) Case Number: 00-00358 Hearing Site: New York, New York Claimant, Tim Demkin, hereinafter referred to as "Claimant": Frank M. Graziadei, Esq., Frank M. Graziadei, P.C., New York, NY. Respondent, A.S. Goldmen & Company, Inc., hereinafter referred to as "Respondent", did not make an appearance in this matter.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marty Wick, Claimant vs. Piper Jaffray Inc. (now known as U.S. Bancorp Piper Jaffray Inc.), Respondent. Case Number: 99-01990 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimant, Marty Wick, hereinafter referred to as "Claimant": Christopher B. Wells, Esq., Lane Powell Spears Lubersky LLP, Seattle, Washington Respondent, Piper Jaffray Inc., now known as U.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Kerby E. and Vera T. Galloway Case No, 99-01983 Names of Respondents David Michael Vitale George Anaya, Jr. Baxter, Banks & Smith, Ltd. Francis Martin McDermott Edward James Muller, Jr. John McGowan, III REPRESENTATION OF PARTIES ^ For Kerby E. and Vera T. Calloway, hereinafter collectively referred to as "Claimants": Frank W. Virg

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John S. Codes, Claimant v. Bear Stearns & Company and Bruce Alan Wisnicki, Respondents Case Number: 99-01982 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John S. Codes In Pro Per Orange, California For Respondents Bear Stearns & Company Terry Ross, Esq. and Bruce Alan Wisnicki: Kessal, Young & Logan Long Beach, California CASE I

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Insinger Trust (Jersey), Ltd, as Trustee of the Breakwater Trust (Claimant) v. Oscar Gruss & Son, Inc. and Michael David Rapoport a/k/a Michael Rapp (Respondents) Case Number: 99-01981 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Insinger Trust (Jersey), Ltd. as Trustee of the Breakwater Trust ("