Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Frankie W. McQuiston and Licia D. McQuiston, Claimant v. Waddell & Reed, Inc., Virginia Slade and Kelly Lee Carlson Case Number: 01-02159 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Frankie W. McQuiston and Licia D. McQuiston, hereinafter referred to as "Claimant": Marc J. Ross, Esq. and Richard J. Babnick, Jr., Sichenzia, Ross, Friedman & Ference, LL

NASD REGULATION AWARD In the Matter of the A rbitration Between Name of Claimant Fidelity Brokerage Services, Inc. 96-04461 Name of Respondent Donald J. REPRESENTATION For Fidelity Brokerage Services Inc. ("claimant") appeared Henry L. Grossman, Esq., of Stroock & Stroock & Lavan, LLP located in Boston, Massachusetts. Donald J. Boyko ("respondent") appeared pro se. CASE INFORMATION Statement of Claim was filed on: October 4,1996. Cla

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Peter M. and Donna L. Pembrooke 96-04457 Name of Respondents Norfolk Securities Corp. Gregory Hall REPRESENTATION Claimants Peter M. and Donna L. Pembrooke ("claimants") appeared Pro Se. Respondent Norfolk Securities, Corp. ("Norfolk") did not appear at the hearing. The-claims against respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Wheat, First Securities, Inc. 96-04454 Name of Respondent James R. Lane REPRESENTATION Claimant Wheat, First Securities, Inc. ("Claimant") was represented by Gabriel Holdsman, Esq., Conrad O'Brien, Philadelphia, PA. Respondent James R. Lane ("Respondent") was represented by Mitchell N. Cobert, Esq.,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Larry Murk 96-04447 Names of Respondents State Street Capital Markets Corp. John Doukas Bob Peters REPRESENTATION Claimant Larry Murk ("Claimant") appeared pro se. For Respondents State Street Capital Markets Corp. ("State Street") and John Doukas ("Doukas") appeared John Bersin, Esq. of the firm Gusrae Kaplan & Bruno, located in New York, New York.

AWARD the Matter of the Arbitration Between i \ Name of Claimant Thaddeus B. Hickman, Jr. Profit Sharing Plan and Case Number 96-04441 Names of Respondents D.E. Frey & Company Inc. and James Glaza Jn REPRESENTATION OF PARTIES ***! ^ « - - - - - — _ A***"-^ ? Hickman, ^ ProfiLSharing Plan was represented-pro^e^intiMieiheaia^^l ^ ? date. At the hearing, the Claimant was represented by John Trueheart, Esquire ofHoustbn, TX.c ™ ^

JUN.22.1998 10=34PM NftSD REGULATION FL NO.220 P.16 N.A.S.D. AWARD NASD Regulation, IDC. Office of Dispute Resolution ' \ In the Matter of the Arbitration Between 1 Name of Claimant Anchor Management jjroup, Inc. 96-04440 Name of Respondent 1 Gerald J. Fasanelia REPRESENTATION For Claimant: Georgi* L. Guerra, Esq. of Fowler, White, Gillen, Boggs, VHiareal & Banker, P.A., Clearwater, FL. For Respondent: Enrique Arr

In the Matter of the Arbitration Between Name of Claimant Securities Research, Inc. 96-0443* NamesjQf Respondents Michael and Lorraine O'Council REPRESENTATION For Claimant Securities Research. Inc. r"SRTlii-MaA Aiken j£_ Tamarac, Florida. • •••.. V r '-XYi :'••-, " . ' . . ' ••• , : : V"\:.".v-""V '.' Respondents Michael and Lorraine O'Conncll appeared pro se_. CAC Statement of Claim filed: September 24,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-04434 Stifel, Nicolaus & Company, Inc., Claimant v. Rick James Smith, Respondent ATTORNEYS: For Claimant appeared Rochelle S. Hall, Esq. - St. Louis, Missouri. Respondent appeared pro se - Orlando, Florida. DATE FILED: October 14, 1996 CASE SUMMARY: Claimant alleged that Respondent Smith took control of account and took the money. Claim Data Award Data

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Linda Kay Phelps, Claimant, and No. 96-04433 GKN Securities Corporation and Martin Pike, Respondents. REPRESENTATION OF PARTIES i ^Clfiniapt; }jU^4C^^^p^"J^^j^!) >yas, represented byJKptj,^ I£pell,;JEsquire ""*'— ""**"_;.-". ^"'^"'i'--"^'^?'^ 7^'>' ?;v "^^. °'-.; :< ;^V.r-" : f; " '-"'Vr' :" ; ~ :^" — V;? ? -'