Award NASD Dispute Resolution In the Matter of the Arbitration Between: Nina H. Katzin vs Interfirst Capital Corporation, Yossi Attia and Brett Briggs Case Number: 01-02048 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Nina H, Katzin For Respondents: Interfirst Capital Corporation Brett S. Briggs First Allied Securities, Inc. Douglas A. Wright Bradley A. Phillips Mitchell J. Albert, Esq, Al

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Karen and Pamela Nobel Case No. 96-01759 Names of Respondents JW Charles Securities, Inc. and Sheila Whitfield REPRESENTATION OF PARTIES For Claimants: Gerald Z. Rossow, Esq., Jupiter, Florida. For Respondents JW Charles Securities, Inc. ("JWC") and Sheila Whitfield ("Whitfield"): Charles Scarlett, Esq. of JW Charles Securitie

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Grady Cooksey, Sr. 96-01758 Name of Respondents A.G. Edwards & Sons, Inc. C. Robert Ball REPRESENTATION For Claimant: Stephen Murphy, Esq. of the law firm of Pino & Dicks, Longwood, FL. For Respondents: Jeff Jamieson, Esq., Associate Vice President & Counsel, A.G. Edwards & Sons, Inc. ("Edwards"). CASE INFORMATION S

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Prudential Securities Inc 96-01754 Name of Respondent Kirk Y. Tang CASE SUMMARY In a case filed with the National Association of Securities Dealers Regulation, Inc. on April 23, 1996 cJaimant Prudential Securities, Inc. ("Prudential") through its representative and counsel Linda A. Gallagher, Esq. of the law firm Gomberg, Kane

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimants Kenneth J. and Leslie C. Silver 96-01751 Name of Respondents Olde Discount Corporation Kenneth Mueller REPRESENTATION Claimants Kenneth J. and Leslie C. Silver ("Claimants") were represented by Thomas C. Wagner, Esq., Chattman, Gaines & Stern, Independence, OH. Respondents Olde Discount Corporation ("

N.A.S.D. REGULATION, INC. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Marjorie Tniitt 96-01748 Name of Respondent Gibraltar Securities Co. REPRESENTATION For claimant Marjorie Truitt ("claimant") appeared Morgan W, Bentley, Esq., a sole practitioner located in Newark, New Jersey, For respondent GibraJtar^ecurities Co, ("respondent") appeared Matthew Farley, Esq. and John E. J

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between tyame of, (^ajmantj 96-03297 96-03044 96-03360 964)1743 96-03369 James C. and Jayne L. Stuart Name of Respondents John A. Stanley Newby & Company CASE NUMMARY Ln a case filed with the National A&socaition of Securities Dealers Regulation, Inc, on April 22, 1996, claimants James and Jayne Stuart ("claimants"), who appeared Pro Se

NASD REGULATION INC. STIPULATED AWARD OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimants Owen K. and Janet R. Crist 96-01738 Name of Respondents Sovereign Equity Management Corp. Vincent Albanese , Joseph Giordano Jeffrey Supinsky REPRESENTATION Claimants Owen K. and Janet R. Crist ("Claimants"), appeared pro se. For Respondent Sovereign Equity Management Corp. ("Sovereign") appeared Kevin P. Simm

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In Che Matter of the Arbitration Between Name of Claimant Ferris, Baker Watts, Inc. 96-01737 Name of Respondent Isaac N. Smith, V REPRESENTATION Claimant Ferris, Baker Watts, Inc. ("Claimant") was represented at the hearing by Theodore W. Urban, General Counsel, Ferris, Baker Watts, Inc., Washington, D.C. Respondent Isaac N. Smith, V ("Respondent") was repr

NASD REGULATION AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stephen P. Bogosian 96-01734 Name of Respondents Josephthal Lyon & Ross Inc. Mark Elanowitz REPRESENTATION For Claimant, Stephen?. Bogosian ("Claimant") appeared James D. Lantier, Esq. of the law firm Smith, Sovik, Kendrick & Sugnet located in Syracuse, New York. For Respondents, Josephthal Lyon & Ross Inc. ("JLR") and Mark Elanowitz ("E