N.A.S.D. AiVARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Name of Claimant Rocky Romero and 92-02293 Name of Respondents Rauscner Pierce Refsnes. Inc. and John R. Johnston REPRESENTATION OF PARTIES Claimant Rocky Romero was represented by Kelly Utsinger, Esq., Gerald Bybee. Esq. and Gavin Gadberry, Esq. of Underwood, Wilson, Berry, Stein & Johnson. P.C., Amarillo, Texas. Respondent Rauscher

NASD Arbitration No.92-02290 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURTTIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) William M. & Sherry D. Moore Name of Respondents) Charles Schwab & Co., Inc. Scott E. Grooms Stephen Roche Karen Aguilar REPRESENTATION For Claimants: William M. Moore, San Clemente, California For Respondents: Stephen Roche, Charles Schwab & Co., Inc, Los Angeles, California

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William £. Biegenwald N.A.S.D. Arbitration No. 92-02288 Name of Respondents PaineWebber, Inc. Rotan Mosie Inc. Evelyn Henne REPRESENTATION For Claimant: William E. Biegenwald, Honolulu, Hawaii. For Respondent: Scott M. Ratchick, Esq., PaineWebber, Inc., Los Angeles, California. CASE INFORMATION Statement of

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS IntheMaotroftheAibitnclonB«tw«aa Sakem A Ftozit Hnmtyua 92-08215 A.O. Bdwudi * Son*, Inc. CASE SUMMARY In t claim fib* wtth tte National Auodatfaa of Secoddei Duton, lac. on July 10, 1998. Claftnanti SatotB * Ftuzit Humayua, who ipfMtmd Pro S«, iltoftrf that Keipondar A.O. Inc. firited to wxtfy them on a Hmely buii it|inliii|tfi»aceel6ntionaf 1 ( 700 Intel Wttxaott whic

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between NajneofClainiants Andrew and Yvette Block 92-02282 e of FPC, Inc. Nefl D. Schwartz REPRESENTATION For Claimants, Andrew and Yvette Block ("The Blocks"): Howard J. Nussbaum, Esq. of Weinstein, Zimmerman, and Nussbaum, P. A., . For Respondents, F.P.C. Inc. ("F.P.C.") and Neil D. Schwartz ("Schwartz"): Robert A. Kasky, Esq. of Robert Kasky

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Steven E. Leatherman, Brian Williams, et. al. (Claimants) vs. Walter Imhoff, Gary J. Wilson, Richard T. Huebner et. al. (Respondents). Case Number: 99-03239 Hearing Site: Denver, Colorado REPRESENTATION OF PARTIES Claimants, Steven E. Leatherman, Jeffrey Wall, Pamela Higgins, Pamela McCuskey ("Leatherman Claimants"): Margaret E. Pepper, Esq. and Gary J. Ceriani, Esq.: Davi

PUBLIC N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant C. E. Coffey vs. 92-02281 Name of Respondents Hibbard Brown & Co., Inc. Doug Andrews CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on July 9, 1992, Claimant C.E. Coffey, who appeared Pro Se, alleged that Respondents Hibbard Brown & Co., Inc. and Doug Andrews finally effec

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Douglas S. Anderson 92-02277 Name of Respondents Wheat First Securities, Inc. Lee Kelly REPRESENTATION Claimant Douglas S. Anderson ("Claimant") represented himself. Respondents Wheat First Securities, Inc. ("Wheat") and Lee Kelly ("Kelly") .were represented by Jonathan M. Harris, General Counsel of Wheat First Securities,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant(s) John and Santa Natoli 92-02273 Name of Respondent(s) Princeton Securities Corp. Leonard Neuhaus REPRESENTATION For Claimants: Kathrine Nathan, Esq., of Brandeis, Bernstein & Wasserman. For Respondent. Princeton Securities Corp: Kenneth A. Kamen of Princeton Securities Corp. CASE INFORMATION Statement of Claim filed

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Roger C. Kleis Case* vs. 92-02268 Guardian International Securities Louis Shaias Jaime Gomez Claimant Roger C. Kleis appeared pro se. Respondents, Guardian International Securities, Louis Sitaras and Jaime Gomez, did not respond. Respondent Innovative Tech Systems is not affiliated with the NASD and declined to submit voluntarily to arbitra