NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04661 Prabhjot Kaur Basi and Gunwant Kaur Basi JTWROS, Claimants vs. Luther Haugan and James Christopher Shelburne, Respondents. CASE: 00-00901 CISC Oppenheimer, Claimant V. Prabhjot and Gunwant Kaur Basi, Respondents ATTORNEYS: 99-04661 Claimants Prabhjot and Gunwant Kaur Basi ("Claimants"), appeared Pro Se., Bellevue, WA. For Respondents Luther D. Haugan and James Christopher

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernard Feldman, Susan Feldman, and Zane Feldman, Claimants v. Fiserv Correspondent Services, Inc., Respondent Case Number: 99-04614 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists San Diego, California For Respondent: Steven D. Plissey, Esq. Williams, Youle & Koenigs, P.C.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cynthia David, (Claimant) vs. Raymond Louis Dirks, (Respondent) Case Number: 99-04430 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Cynthia David, hereinafter referred to as "Claimant": Robert L. Seaman, Esq., a sole practitioner, New York, NY. Respondent, Raymond Louis Dirks, hereinafter referred to as "Respondent": Jeffrey S. Eisenberg, Esq., Law O

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Lillia C. Celaya, Maria J. Celaya, and Nerio Celaya, Claimants v. NY Life Securities, Inc. and Lee B. Nole, Respondents Case Number: 99-04339 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimants: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondent NY Life Securities, Inc.: Robert J. McKennon, Esq. Bar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth Wolcott Family Trust dated 12/7/89, Claimant v. Dean Witter Reynolds Inc. and R. Thomas Caffery, n, Respondents Case Number: 99-04311 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Donald B. McNelley, Esq. Indian Wells, California For Respondents: Timm A. VerDuin, Esq. Morgan Stanley Dean Witter San Francisco, California CAS

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John Cordova, Claimant v. Mark Bernhard and A.G. Edwards & Sons, Inc., Respondents Case Number. 99-03471 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Steven M. Green, Esq. Law Offices of Steven M. Green San Diego, California For Respondents: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Suntrust Bank Nashville, N.A., Suntrust Securities, Inc. (Claimants) vs. PaineWebber, Inc., Jeffrey Scott Goodman and Stanley Michael Shelley (Respondents). Case Number: 99-03211 Hearing Site: Nashville, TN REPRESENTATION OF PARTIES Claimants, Suntrust Bank Nashville, N.A. ("Suntrust Bank") and Suntrust Securities, Inc. ("Suntrust Securities"), hereinafter collectively referred to as

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edna Anne Abeln De Vos, John Francis De Vos, and Edna Anne Abeln DeVos Family Trust, Claimants v. Mission Capital Investment Group, Inc., Richard A. Elliot, OLDE Discount Corp., Thomas Lynn Kelly, Jason Gronski, Ray Colglazier, Miller, Johnson & Kuehn, Inc., Shawn P. Crawford, and Matthew R. Jennings, Respondents Miller, Johnson & Kuehn, Inc., Cross-Claimant v. Mission

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02461 Jack Braumiller, Jr., claimant vs. American Century Brokerage, respondent. ATTORNEYS: Claimant, Jack Braumiller, Jr., appeared Pro Se., Salem, SC. For Respondent, American Century Brokerage, ("Respondent"), Mark H. Nicholas, Esq., of American Century Brokerage, Inc., Mountain, CA. DATE FILED: May 27, 1999 CASE SUMMARY: Claimant alleged that Responden

AWARD NASD Regulation* Inc. In the Matter of the Arbitration Between Name of Claimant Fred E. White, Jr. 98-00753 Duke & Co., Inc. Philip Teseo Robert A. Bartlett REPRESENTATION For Claimant: Philip E. Downer, m, Esq. of the law firm of Downer, Kyle & Wilhite, L.L.C., Shreveport, Louisiana. Respondent Duke & Co., Inc. ("Duke") did not appear. For Respondent Philip Teseo ("teseo"): Adam Silverstein, P.C., New York, New York. Respo