N.A.S.O. RKGl LAT1ON AWARD NATIONAL ASS()CIATIONJj£SKCljRITIKS I)KALKMKK(l 1 < )N _INC CASE: 97-03244 Irene N. Dugan Tnisl and Irene Dugan. claimants v. Scntra Securities Corp. respondent. ATTORNEYS: For claimants appeared Mark P. K rones San Diego. CA. For respondent appeared Gregory D. Fit/patriek - San Diego. CA. DATE FILED: 6/30/97 CASE SUMMARY: Claimants alleged respondent failed to notify lliein thai broker was terminated and that respondent v

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Adele Borden Estate of Paul Borden, Adele Borden, Executrix vs. Case No. 97-03177 Name of Respondents Halpert & Co., Inc. The Jeffrey Matthews Financial Group, LLC Matthew B. Cohen Jeffrey R. Halpert REPRESENTATION For Claimants Adele Borden and Estate of Paul Borden, Adele Borden, Executrix ("Claimants") appeared Richard L. Burnstein, Esq.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Howard, Weil, Labouisse, Friedrichs, Inc. 96-04758 Name of Respondent Dorse/ & Company, Inc. ' • For Claimant: Steven F. Barley, Esq. of the law firm of Miles & Stockbridge, Baltimore, Maryland, For Respondent: Mark P. Seyler, Esq. of the law turn of Barkley & Thompson, L.C., New Orleans, Louisiana. CASE PtFOKMATlQ Ifl Statement of Claim filed: October 25, 1996. Claiman

ORDER NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Smith Barney, Inc. v. Arbitration No. 96-01993 Name of Respondents Brian G. DiJulio Barbara J. DiJulio REPRESENTATION OF PARTIES Smith Barney, Inc. ("Claimant") was represented by Eric D. Lansverk, Esq., Hillis Clark Martin & Peterson, Seattle, Washington. Brian G. DiJulio and Barbara J. DiJulio ("Respondents") were rep

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Steven E. Toepel v. Arbitration No. 96-01730 Name of Respondents) Piper Jaffray, Inc. James McCoIley REPRESENTATION For Claimant: John A. Bender, Jr., Esq., Weiss, Jensen, Ellis & Howard, Seattle, Washington. For Respondents: Brian S. Hellberg, Esq., Piper Jaffray, Inc., Minneapolis, Minnesota. CASE INFORMATION St

HASP RgQPLATIQH. IMC.. QgPICB QP nTHPTTTE In the matter of the Arbitration Between Name of Clamant < ai Bruce Werner Name of Respondent: (s) Gilford Securities Inc. Chester J. Dudzik Arbitration No. 96-02605 For Claimant: Jeffrey M. Jones, Esq., Law Office of Archibald M. Mull, III, Old Sacramento, California For Respondent Gilford Securities Inc.: Joel Levinson, Esq., Gilford Securities Inc., New York, New York For Respondent Chester

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: #99-02983 Charles Schwab & Co., Inc., claimant vs. Debra Arebalo, respondent. ATTORNEYS: For Claimant, Charles Schwab & Co., Inc., appeared Stephanie M. Vilicich, Esq., of the firm, Keesal, Young & Logan, Long Beach, CA. For Respondent, Debra Arebalo, appeared Gayle Peron, Esq., of the firm, Peron & Pratt, San Luis Obispo, CA. DATE FILED: June 29, 1999 CA

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter, of the Arbitration Between Name of Claimant Prudential Securities Incorporated 94-00355 Name of Respondent John Thrasher REPRESENTATION For Claimant: Prudential Securities Incorporated ("Prudential") was represented by Steven P. Gomberg, Esq. of Siegan Barbakoff Gomberg & Kane, Ltd., located in Chicago, EL. For Respondent: John Thrasher ("Thrasher") did not appear.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara M. Simens, Administrator with Will Annexed of the Estate of Eleanor S. Ernst NASD Arbitration No. 92-01624 Name of Respondents Merrill Lynch. Pierce. Fenner & Smith. Inc. James Marchetti REPRESENTATION For Claimant: Niles R. Sharif, Esq. - Kaplan Russin & Vecchi - San Francisco Ca. For Respondents: Todd A. Zucke

NASD Arbitration No. 92-00522 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants) Jonathan Lee Name of Respondents) Dean Witter Reynolds, Inc. Steve Ryu REPRESENTATION For Claimant: James J. Kim, Esq., San Francisco, California For Respondent Dean Witter Reynolds, Inc.: Wendy R. Robinson, Esq., Dean Witter Reynolds, Inc., San Francisco, California For Respondent St