AWARD i NASD Regulation, Inc. CASE 98-00167 Harvey Rooks v. Investment Management and Research, Inc. ATTORNEYS; For Claimant: John C. Kelly, Esq. of Ackerman Link Sartory, West Palm Beach. Florida. For Respondent: Jamea D. Sallah, Esq. of Investment Management and Research, Inc.{"IMR M ), Si. Petersburg, Florida. DATE FILED; Statement of Claim filed: January 12, 1998. Claimant's Uniform Submission Agreement signed on; June 16, 1997.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00166 Rajeev Naik , claimant vs. LT Lawrence & Co., Inc., respondent. ATTORNEYS: For claimant appeared C. W. Austin Jr., PC - Richmond, VA. For respondent appeared RuthAnn G. Niosi, Esq. - New York, NY. DATE FILED: 1/13/98 CASE SUMMARY: Claimant alleged unauthorized trading and churning. Claim Data Claim: $8,698.29 Interest: 34% from 11/21/95 to 5/

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00164 Gladys F. Judge, claimant vs. Steven Wallace, respondent. ATTORNEYS: Claimant appeared Pro Se. - Westchester, CA. Respondent appeared - Pro Se. - Beverly Hills, CA. DATE FILED: 1/13/98 CASE SUMMARY: Claimant alleged unpaid overtime. Claim Data Award Data Claim: $4,302.36 Award: $.00 Interest: Requested Interest: Denied Atty Fees: $.00 Art

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Jeff Raim, and J. Lynne Raim and 98-00153 Name of Respondent Duke and Company REPRESENTATION OF PARTIES JefF Raim, and J. Lynne Raim ("Claimants") were represented' by David Anson, Esq., of DeConcini, McDonald, Yetwin & Lacy, Tucson, Arizona. Duke and Company ("Respondent") was not represented, and failed to appear at the hearing. CASE INFORMATION

AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimant(si Derek Rowley Corporate Service Center Universal Market Research, Inc. Arbitration No. 98-00151 Name of Respondentfs) HGI, Incorporated (formerly The Harriman Group), Marc A. Singer, Joseph J. Tuozzo, Mark Hanna, Bernice Lerner, Shane Ferras, Jeffrey Gray, Steven Palumbo, and Frank J. Casillo REPRESENTATION For Claimants: William P.

N.A.S.D. REGULATION, INC. AWARD CASE:98-00146 William Tinen and Suzanne Tinen, claimants vs. Olde Discount Corporation and Randy Risdon, respondents. ATTORNEYS: For claimants appeared Michael A. Childers, Esq., - Chicago, IL. For respondents appeared Thomas P. Fitzgerald, - Detroit, MI. DATE FILED: 1/12/98 CASE SUMMARY: Claimant alleged failure to execute trade, breach of contract and fiduciary duty, negligence, et al. Claim Data Award Data

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Phuc Quang Le, Claimant v. WMA Securities, Inc. and S. Hubert Humphrey, Respondents Case Number: 01-01767 Hearing Site: Tampa, Florida REPRESENTATION OF PARTIES For Phuc Quang Le, hereinafter referred to as "Claimant": Marc S. Dobin, Esq., Dobin & Jenks, LLP, Jupiter, Florida. For WMA Securities, Inc. ("WMA") and S. Hubert Humphrey ("Humphrey"), hereinafter collectively re

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between I Name of Claimant Interstate/Johnson Lane Corporation n/k/a Wachovia Securities, Inc. Case No. 98-00142 Names of Respondents Robert L. Gregory, Jr. Carol Ann D. Gregory In the Matter of the Arbitration Between Names of Claimants Robert L. Gregory, Jr. Carol Ann D. Gregory Case No. 00-00894 Names of Respondents X Patrick Thomas McShea : :::.

AWARD NASD Regulation, Inc. CASE: 98-00139 Orthopedic Associates Retirement Trust, claimant vs. Smith Barney, Inc., and Daniel R. McAuliffe, Jr., respondents. ATTORNEYS: Claimant appeared Pro Se, through its trustee, Donald L. Boyd, Leesburg, GA For Respondents appeared in-house counsel, Ann Parry, New York, NY DATE FILED: January 12, 1998 CASE SUMMARY: Claimant alleged that respondents did not pay him the correct price when he liquidated shares

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants James P. and Tudor M. Austin, JTWROS 98-00137 Name of Respondents Salomon Smith Barney, Inc. John F. Habig REPRESENTATION For Claimants James P. Austin and Tudor M. Austin (referred to collectively as "Claimants") appeared Robert A. Shaines, Esq. from Shaines & McEachern, P.A., located in Portsmouth, New Hampshire. For Respondent Salomon Smith Barn