Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant American Express Financial Corporation vs. Case No. 99-00364 Name of Respondent William P. Yurkovac REPRESENTATION OF PARTIES Claimant, American Express Financial Corporation, hereinafter referred to as "Claimant(s)": Abraham C. Reich, Esq. and Joshua Horn, Esq., Fox, Rothschild, O'Brien & Frankel, LLP, Philadelphia, Pennsylvania Respondent W

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Mashhoor Dawood Al-Asfoor Name of Respondent E*Trade Securities, Inc. Case No. 99-00363 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Mashhoor Dawood Al-Asfoor ("Ai-Asfoor"), hereinafter referred to as "Claimant" appeared pro se. For E*Trade Securities, Inc. ("E*Trade") hereinafter referred to as "Respondent": Mark T. Drooks, B

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Darrell Dobernecker and 99-00348 Des Moines, Iowa Name of Respondent U.S. Bancorp Investments, Inc. REPRESENTATION OF PARTIES Darrell Dobernecker ("Claimant") was represented by R. Jeffrey Lewis, Esq., Lewis, Webster, Johnson, Van Winkle & De Voider, L.L.P., Des Moines, Iowa. U.S. Bancorp Investments, Inc. ("Respondent") was represented by Dennis W. Joh

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Samuel J. Agosta, Jr., (Claimant) vs. ISG Capital Markets, LLC, (Respondent) vs. Greg LaBorde (Third Party Respondent) Case Number: 99-00347 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Samuel J. Agosta, Jr., hereinafter referred to as "Claimant": Kenneth A. Elan, Esq., New York, New York. Respondent ISG Capital Markets, LLC, hereinafter referred to as "ISG"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Rachmiel, JoanB. Trubenstein, and Bernard Venditti, (Claimants) vs. On-line Investment Services Inc., (Respondent) Case Number: 99-00342 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Robert Rachmiel ("Rachmiel"), Joan B. Trubenstein ("Trubenstein"), and Bernard Venditti ("Venditti"), hereinafter collectively refened to as "Claimants", appeared pro se.

Award NASD In the Matter of the Arbitration Between: Name of Claimant Case Number: Florence Powers as Pers. Rep, 00-03284 Estate of Charles W. Lackey Names of Respondents Hearing Site: American Express Financial Advisors, Inc., Boca Raton, FL Sharon Duncan American Enterprise Investment Services, Inc. REPRESENTATION OF PARTIES For Florence Powers as Pers. Rep. Estate of Charles W. Lackey, hereinafter referred to as "Claimant": Jeffrey S.

NASD DISPUTE RESOLUTION, INC. IN THE MATTER OF THE ) ARBITRATION BETWEEN ) - • ; ...... r ' ' " NAME OF CLAIMANT - .-.:.-. ) ) ABDUL R. PIRACHA ) ) STIPULATED AWARD ) Case No. 99-00339 NAME OF RESPONDENTS ) ) THE BOSTON GROUP, L.P. ) ROBERT A. DIMINICO, ) JOSEPH W. DONOHUE, JR. ) --:- .-• REPRESENTATION OF PARTIES Claimant, Abdul R. Piracha, hereinafter referred to as "Claimant": Richard S. Kraut, Esq., Storch

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ben and Wilhelmina Pijuan, Claimants v. WMA Securities, Inc., World Marketing Alliance, Inc., Art Stein, Eden Stein, Lydia C. Legaspi, Kevin L. Palmer, Mason A. Burnham, and Richard L. Thawley, Respondents. Case Number: 99-00335 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants Ben and Wilhelmina Pijuan: For Respondents Art Stein and Eden Stein:

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mitchell Pasquin, (Claimant) vs. Datek Online Brokerage Services Corp. and Datek Securities Corp. (Respondents). Case Number: 99-00329 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Mitchell Pasquin hereinafter referred to as "Claimant": Michael A. Fluetsch, Esq., Stockton, California. Datek Online Brokerage Services Corp. and Datek Securities Corp. hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harris Trust Company of New York, (Claimant) vs. Bear Stearns & Co., Inc. and Sunrise Securities Corp., (Respondents) vs. Alfred I. Anzalone (Third-Party Respondent) Case Number: 99-00328 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Harris Trust Company of New York, hereinafter referred to as "Claimant": James A. Arpaia, Esq., Esq., Vedder, Price, Kaufma