NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Wheat First Securities, Inc. 94-00835 Name of Respondent Darrell Beahon REPRESENTATION For claimant Wheat First Securities, Inc. ("claimant") appeared Nicholas P. Vari, Esq. of the law firm of Kirkpatrick & Lockhart located in Pittsburgh, Pennsylvania. For respondent Darrell Beahon ("respondent") appeared Jon R. Perry, Esq. of the law firm of Betts & Perry locate

NASD Dispute Resolution x ISAC and SUZANNA COHN, Claimants, -against- SALOMON SMITH BARNEY and JEFFREY WINIK, Respondents. NASD-DR Arbitration No.: 01-02961 STIPULATED AWARD X REPRESENTATION The claimants were represented by Anthony J. Horn, Esq. located in New York, New York. Respondents Salomon Smith Barney and Jeffrey Winik were represented by Paul Giappone, Senior Vice President and Associate General Counsel of Salomo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-00926 Patricia El Ladd, Claimant vs. Crowell, Weedon & Co., and R. Jacques Bellesisles, Respondents. ATTORNEYS: Claimant, Patricia E. Ladd, ("Claimant"), appeared Pro Se., Los Gatos, CA. For Respondents, Crowell, Weedon & Co., Inc, and R. Jacques Bellesisles, (collectively "Respondent"), appeared in-house counsel James L. Cronk, Esq., Los Angeles, CA. DATE FILED: March 2, 2000

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION INC. CASE:00-00091 Ralph L. Butts, claimant vs. Fairchild Financial Group, respondent. ATTORNEYS: Claimant appeared Pro Se, Greeley, CO. Respondent did not appear in this matter. DATE FILED: January II, 2000 CASE SUMMARY: Claimant alleged that respondent failed to execute his sell order of DECG stock in a timely manner thereby causing losses in his account. Claim Data Award Data Claim: $3

N.A.S.D. AWARD NATIONAL .ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Wheat, First Securities. Inc. 94-00834 Name of Respondent Melbis Development Corp. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 4, 1994, Claimant Wheat, First Securities, Inc. ("Claimant"), alleged that Respondent Melbis Development Corp. ("Respondent"), failed to pay an unse

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Datween Name of Claimants Chun Chaw Judy Chuang & Chin-Lern Jin, WTROS. Award No. vs. 94-00824 Name of Respondent Brown & Company Securities Corporation REPRESENTATION For Claimants, Chun Chaw, Judy Chuang and Chin-Lern Jin ("Claimants"), Paul J. Foreman, Esq., located in Red Bank, New Jersey. For Respondent, Brown & Company Securities Corporation,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter ot the Arbitration Between Name of Claimant Edna C. Dicken 94-00823 Name of Respondent Hampton Securities, Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 3, 1994. Claimant Edna C. Dicken. who appeared Pro Se, alleged that Respondent Hampton Securities, Inc., through its representative Frank A. Escobar used high press

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between * Name of Claimant James Sheehan 94-00815 Name of Respondent Michael J. Rice Representation of Parties Claimant James Sheehan appeared at the hearing and was represented ProSe, Respondent Michael Rice did not appear at the hearing but was present by speaker phone and was present Pro Se, Case Information Claimant's Statement of Claim

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Name of Claimant Kitty R. Chestnutt, and No. 94-0813 Name of Respondents Dean Witter Reynolds, Inc., and Kinch Meyer, Jr. REPRESENTATION OF PARTITA Kitty R. Chestnutt ("Claimant") was represented by Alan E. McNally, Esq. of and Joe Heflin, Esq. of Lubbock, TX. Dean Witter Reynolds, Inc. and Kinch Meyer, Jr. ("Respondents") were represente

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Bradley J. Ainsworth Trust Bradley J. Ainsworth 94-00804 Name of Respondents Raymond James & Associates, Inc. Sebastian Zimmardo Donna A. Sheehy REPRESENTATION For Claimants, Bradley J. Ainsworth Trust and Bradley J. Ainsworth ("Ainsworth"): H. Douglas Powell from H. Douglas Powell, P.A., Plantation, Florida, and Arnol