N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00247 Mildred Buller, claimant vs. Alex Solomon and Goldis Financial Group, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - New York, NY For Respondents appeared Allison M. Johnson, Esq. - Uniondale, NY DATE FILED: 1/20/98 CASE SUMMARY: Claimant alleged failure to inform of opportunity to sell and breach of professional duty. Claim Data Award

AWARD NASD Regulation, Inc. CASE: 98-00246 . . Ohio .Savings Securities, Inc., claimant vs. -Dean M. Nedvecki and Nancy A. Nedvecki, respondents. ATTORNEYS: For claimant Ohio Savings Securities, Inc., appeared in-house counsel Roy E. Lachman, Esq. Cleveland, OH Respondents Dean M. Nedvecki and Nancy A. Nedvecki appeared Pro Se., Columbus, OH DATE FILED: 1/20/1998 CASE SUMMARY: Claimant alleged that respondent failed to supply the certificate or

NASD REGULATION, INC. AWARD IN THE MATTER OF ARBITRATION BETWEEN CHARLES SCHWAB & CO., INC., / Claimant Case No. 98-00240 v. Leonard L. Romans, ^ Respondent REPRESENTATION OF PARTIES Charles Schwab & Co., Inc. ("Claimant") was represented by Stephanie Brand, Charles Schwab & Co., Inc., Houston Galleria Branch, 5100 Westheimer, Suite 100, Houston, TX 77056. Leonard L. Romans ("Respondent") was not represented and did not appear at the hearing.

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Detlev E. Hasselmann v. Arbitration No. 98-00232 Name of Respondents A.G. Edwards & Sons, Inc. and Mark E. Bernhard REPRESENTATION For Claimant: G. Mark Brewer, Esq. Brewer & Carlson, L.L.P. La Jolla, California For Respondent: William S. Port, Esq. A.G. Edwards & Sons, Inc. St. Louis, Missouri CASE INFORMATION Statement of Claim fil

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Harold J. Bonfiglio and Sally A. Bonfiglio, (Claimants) v. Prudential Securities, Inc., John Kuhlman, Eric Kuehl, and Matthew J. Miller (Respondents) Case Number: 01-01774 REPRESENTATION OF PARTIES Claimant Harold J. Bonfiglio and Sally A. Bonfiglio ("Bonfiglio"): Lee Phillip Forman of the Law Offices of Lee Phillip Forman, Ltd. located in Oak Brook, Illinois. Respondent P

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant American Allied Securities, Inc. and Case Number 98-00221 Names of Respondents American General Securities, Inc., American General Life Insurance Co., and National Financial Services Corporation REPRESENTATION OF PARTIES American Allied Securities, Inc. (hereafter referred to as "Claimant") was represented by Wesley S. Coddou, Esq. and Coddou & Coddou and b

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Facchina Construction Co., Inc. Verga, Waugh & Associates Charles W. McPherson Paul V. Facchina, Sr. Case No. 98-00214 Name of Respondents LA. Rabinowitz & Co. (n/k/a I.A.R. Securities, Inc.) Richard Gothers REPRESENTATION OF PARTIES Claimants Paul V. Facchina, Sr. ("Facchina"), Facchina Construction Co., Inc. ("Facchina Co."), Verga, Waugh & A

9:58flM M0.6B4 P.40 AWARD NASD Regulation, Inc. CASE: 98-00212 Douglas Myura vs. Charles Schwab & Co,, Inc. and Peter Curley. ATTORNEYS: For Claimant: Bradley F. Rothenberg, Esq. of Mintmiie and Associates, Palm Beach, Florida. For Respondents Charles Schwab & Co., Inc. ("Schwab") and Peter Curley ("Curley")* Sean B. Meehan, Esq. of Charles Schwab & Co, Inc., San Francisco, California. DATE FILJED^ Statement of Claim filed; May 14, 1998. Cla

N.A.S.D. REGULATION AWARD i i NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Khosro Daraiefard 98-00206 Name of Respondent E*Trade Securities, Inc. REPRESENTATION OF PARTIES For Claimant: Khosro Daraiefard represented himself, pro se. For Respondent; Ekwan E. Rhow, Esq. Bird Marella Boxer Wolpert & Matz Los Angeles, California. CASE INFORMATION Claimant's Statement

AWARD NASD Regulation, Inc. ' In the Matter of the Arbitration Between Name of Claimant Piper Jaffray, Inc. - and 98-00202 Name of Respondent Grace Marie Miles REPRESENTATION OF PARTIES Piper Jaffray, Inc. ("Claimant") was represented by Brian S. Hellberg, Esq., Piper Jaffray, Inc., Minneapolis, Minnesota. • " Grace Marie Miles ("Respondent") was represented by Anthony M. Englese, Esq., San Francisco, California. Neither Respondent nor h