AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between John Bojduj and 00-03565 Detroit, Michigan OLDE Discount Corporation Gery Williams, and Brian Poirier REPRESENTATION OF PARTIES John Bojduj ("Claimant"): pro se. Jerome Quinn, Esq., Bloomfield Hills, Michigan, represented Claimant until on or about October 25,2000. Andrew Stottman, Esq., Maddox, Koeller, Hargett & Caruso, Chicago, Illinois, represented Claimant

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between - Beverly Wolfgram, PhD Case No. 00-03306 WMA Securities, Inc.; Brian F. Gilhart; and Gregory J. Kapp Hearing Site- Milwaukee, Wisconsin PFPPKSF1VTATTON HF PARTTFS Claimant Beverly Wolfgram, PhD ("Wolfgram") appeared pro se. Respondents WMA Securities, Inc. ("WMA"); Brian F. Gilhart ("Gilhart"); and Gregory J. Kapp ("Kapp") were represented by Scott G. Thoma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: The Lucylle G. Thomas Trust, Claimant v. Centex Securities, Inc., Torrey Pines Securities, Lnc. and Jeffrey Wetzel. Respondents Case Number: 00-01295 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: For Respondent Centex Securities. Inc. For Respondent Torrey Pines Securities, Inc.: For Respondent Jeffrey Wetzel: Donald B. McN'elley.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name nf Claimant Rita Resnick 92-01344 . Name of Rejppndents Sid Nachinan U.S. Lite Equity Sales Corporation REPRESENTATION For Claimant. Rica Resnick ("Claimant"). Max Rosenbach. Esq.. For Respondents. Sid Nachman ("Nachman") and U.S. Life Equity Sales Corporation ("U.S. Life"). Robert Scandone, Esq.. CASE INFORMATION Statement of

N.A.3.D, AWARD NATIONAL ASSOCIATION OF SECUUTOE8 DEALERS In th* NUtUr of th« AffcitJVtfan Wtbar and Moin, Vtith 924)1306 Hibbtfd Brown & Co. . Inc. For Claimant*, Water and Moin Vtith ("Vdtb"): pro tt. far iUipofldent, KibMrd Brown A Co., Inc. ("Ribbird''): tevw B. Ctroio, B$q. of Hibb&M Brawn * Cv Stttenem of Claim fUed on April 14, 1992. CUlmtnta Sttbrnlwion Acrocmeot si|Md on April 10, 1992. RjMpondent, Hibbt/d'i, Stitmwtof Amwar file

A4ASO PUBLIC N.A.S.D. AKAHD NKTICKhL ASSOdXFXCN OP SBCORITIES DEMURS In the Matter of the Atfcitration Between Arbitration National Aatoctetton of Securttla* Dealers, tae NASD Financial Canter 33 Whitehall Sireet New York, N.Y. 10004 FAX (212) 858-4389 Robert Roy vs. 92-01212 stoekCtcm, inc. Bar daisamt, Robert Roy, Bernard P. Rome, B»q. fron tba law ftm of Qeoxg« & Idedn. Par PMprtvknrn. StockCtoaa, Inc. and Chri

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lisa A. Harpenau, Claimant v. Morgan Stanley Dean Witter, William Joseph Jones and Charles Schwab & Co., Inc., Respondents Case Number: 00-03869 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimant: Thomas D. Mauriello, Esq. San Rafael, California For Respondents Morgan Stanley Dean Witter and William Joseph Jones: Anne T. Cooney, Esq. Mor

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Names of Claimants Richard and Ghlslaine Price 92-00740 Names of Respondents Palm Beach Financial, Inc. Peter S. Smith Frederick B. Spears Karen A. Lee Larry J. Stanavitch REPRESENTATION Claimants, Richard and Ghislaine Price were represented by John P. Stetson, Esq. of West Palm Beach, Florida. Respondent, Palm Beach Financial,

NAUOMh. ASSOCIATION)* SECURITIES D£AtQS, In the Matter of the Arbitration Between Esnat H. Mahaoud Claimant vs. Equitable Securities of New York Richard Schaefer Respondents CASE 189-00257 AWARD CASE SUMMARY •In a claim filed with the National Association of Securities Dealers-, Inc. on January 27, 1989, Claimant Esmat H. Mahmoud alleged Respondent Richard Schaefer made misrepresentations to her that the stock of Compass Distributing

N.A.S.D. AWARD NKTICNMi ASSOdflTICN OF SECURITIES DEALERS In the Matter of the Arbitration Between David Schenker 89-00128 Lynch, Pierce, Fanner & Smith Gof £ For claimant: Christopher L. Burton, Esq. and James W. peters, Esq. of Jones, ftaldo, ifolfarook & JfcDonough, Salt Lake City, Utah. For Respondent*! Dennis M. Pape, Esq. of MarHTI Lynch, Pierce, Fannar & 9«ith, Inc., New York, New York. Statement of Claim filed January 10, 1989.