AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Dennis G. Kruse and 96-01916 Name of Respondent RAF Financial Corporation REPRESENTATION OF PARTIES Dennis G. Kruse ("Claimant") was represented by Philip E. Pankoif, Esq., Denver, Colorado. RAF Financial Corporation ("Respondent") was represented by Russell C. Burk, Esq., RAF Financial Corporation, Denver, Colorado. CASE IN

NASD REGULATION, INC, AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Suppes Securities, Inc. 96-01915 Name of Respondents Nationwide Securities Corporation d/b/a Nationwide Securities, Inc. REPRESENTATION For Claimant, Suppes Securities, Inc. ("Claimant"), appeared Andrew Zeitlin, Esq., of the law firm Tenzer Greenblatt located in New York, New York. For Respondent, Nationwide Securities Corporation

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant William B. Kirtland 96-01912 Name of Respondents Dean Witter Reynolds Inc. John Maccoll CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on May 3, 1996 Claimant, William B. Kirtland ("Claimant"), through his representative Mary Ann Waterman, Esq.. a sole practitioner, located in Detroi

N.A.S.D. REGULATION, INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. vs. 96-01896 Name of Respondent Spencer W. Graham, II REPRESENTATION For Claimant A. G. Edwards appeared William Port, Esq. in house counsel with A.G. Edwards located in St. Louis, Missouri. Respondent Spencer Graham appeared pro se. CASE INFORMATION Statement of Claim filed: April 29, 1996 Claimant's Sub

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Edward F. & Barbara D. Borden 96-01895 Name of Respondent PC Financial Network, Donaldson Lufkin & Jenrette Securities, Inc. REPRESENTATION Claimants Edward F. Borden, Jr. and Barbara D. Borden ("Claimants") were represented by Edward F. Borden, Esq., Princeton, NJ. Respondent PC Financial Netwo

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant T. Vanessa Robinson, Executor for Estate of Ruth M. Maxwell Case No. vs. 96-01886 Names of Respondents Buttonwood Securities, Inc. Edward A. McKay, Jr. REPRESENTATION For Claimant T. Vanessa Robinson ("Claimant") appeared Susan N. Perkins, Esq., a private practioner located in New York, New York. Respondent Buttonwood Securities, Inc. ("Buttonwood")

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roseann Martucci IRA, (Claimant)! vs. Morgan Stanley Dean Witter and Dominick Giovannione, (Respondents) I Case Number: 01-02062 Hearing Site: New York, New York REPRESENTATION OF PARTIES ^^ === ]~~ ^^= =ii:j. Claimant, Roseann Martucci IRA,jhereinafter referred to as "Claimant": Richard Birmingham, Esq., a sole practitioner, Staten Inland, NY. j Respon

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Randall S. Raisanen and Sheryle M. Raisanen and 00-00789 Phoenix, Arizona Name of Respondents Gruntal & Co., L.L.C. Adam D. Lorraine Stephen W. Mick REPRESENTATION OF PARTIES Randall S. Raisanen and Sheryle M. Raisanen ("Claimants") were represented by Gordon P. Raisanen, Esq., Raisanen & Associates Law Firm, Ltd., Cokato, Minnesota. Gru

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:00-00088 Mitch Black, claimant vs. Jim Rector and J.P. Turner and Company, respondents. ATTORNEYS: Claimant appeared Pro Se., Malvern, PA. Respondents appeared through William L. Mello, Vice President of J.P. Turner & Company, Atlanta, GA. DATE FILED: January 11, 2000 CASE SUMMARY: Claimant alleged that respondents made an unauthorized purchase of 1,000 shares of Bid.com on May 7,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Sallie Shapiro, Claimant v. David Weiss, John Klingenmeier, Roger Chlowitz, Steven Jenkins, and David Oeser, Respondents. Case Number: 96-01885 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jay R. Stein, Esq. Law Offices of Jay R. Stein Los Angeles, California For Respondent Roger Chlowitz: Roger Chlowitz InProPer Northridge, California