JUN.15.1999 12=23PM NO.803 P.32 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between i Name Of Claimant , / Marvin Ganger 98-00133 Names of Respondents Josephthal Lyon & Ross, Incorporated Steve Dates REPRESENTATION For Claimant: Curtis Carlson, Esq. of Carlson & Bales, P.A,, Miami, FL. For Respondent Josephthal Lyon & Ross, Incorporated ( H Josephthal"); John E. Bersin, Esq., Associate General Counsel, Jo

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00126 Cyrano Pallandt, claimant vs. Arthur Kessler & Dabney/Resnick/Imperial L.L.C., respondents. ATTORNEYS: Claimant appeared Pro Se. - Huissen Netherlands For respondent Dabney/Resnick/Imperial L.L.C., appeared David M. Bartholomew, Esq. - Long Beach, CA. Respondent Arthur Kessler appeared Pro-Se - Marina Del Ray, CA. DATE FILED: 1/12/98 CASE SUMMARY

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Paine Webber Incorporated Case No. 98-00124 (Consolidated with Case No. 98-00125) of Resondent JonLeTang (Case No. 98-00124) Pierre M. Koutani (Case No. 98-00125) Consolidated June 3, 1999 REPRESENTATION OF PARTIES Claimant PaineWebber Incorporated ("PaineWebber") was represented by Janiece M. Langoria, Esq. of Ogden, Gibson, White & Br

NASD REGULATION, INC. . AWARD In the Matter of the Arbitration Between Name of Claimant Rae-Carole Fischer vs. Case No. 98-00123 Name of Respondent Charles B. Jenkins REPRESENTATION For Claimant Rae-Carole Fischer ("Claimant* 1 ), appeared David A. Stampley, Esq. of the law firm Thelen Reid & Preist LLP, located in New York, New York. Respondent Charles B. Jenkins ("Respondent") did not enter an appearance in this matter. CAS

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00121 Anthony & Doreen Zaino, claimants vs. Corporate Securities Group & Michael Hohner, respondents. ATTORNEYS: Claimants appeared Pro Se. - Westbury, NY. For Respondent Corporate Securities Group, Inc. appeared Gregory Tendrich, Esq. - Boca Raton, FL. Respondent Michael Hohner did not appear DATE FILED: 1/12/98 CASE SUMMARY: Claimant alleged unau

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00119 The Ray Pellegrino Trust, claimant vs. J.B. Oxford & Company, respondent. ATTORNEYS: For claimant appeared - Ray Pellegrino For respondent appeared Albert Laubenstein DATE FILED: 1/12/98 CASE SUMMARY: Claimant alleged failure to execute in a timely manner. Claim Data Award Data Claim: $3,000.00 Award: $.00 Filing Fees: $125.00 . Filing Fees: $.00 Other: $.00 Other: $.00 AWARD: The undersigne

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dain Rauscher Incorporated, Claimant and Counter-Respondent, v. No. 98-00118 Edward J. Schiavi, Respondent and Counter-Claimant. REPRESENTATION OF PARTIES Claimant and Counter-Respondent Dain Rauscher Incorporated ("Claimant") was represented by James M. McCown, Esq. of Jackson Walker L.L.P. located in Dallas, Texas. Respondent and Counter-Claim

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Donald W. Thomas, individually and as Trustee of the Thomas Revocable Trust and D.W. Thomas Companies, Inc., Claimants v. Wedbush Morgan Securities Inc., Respondent Case Number: 01-01755 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants/Counter-Respondents: JeffDennis Ferentz, Esq. Greenbaum & Ferentz LLP Newport Beach, California For Respondent/C

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James V. Kohlhaas 98-00117 Name of Respondents Investors Associates Incorporated Leonard Sharfman REPRESENTATION James Kohlhaas ("Claimant") appeared pro se. Investor Associates, Inc. ("Investor Associates") did not appear. Leonard Sharfman ("Sharfman") appeared pro se. CASE INFORMATION Claimant filed the Statement of Claim on January 7, 1998.

N.A.S.D. REGULATION, INC. AWARD CASE: 98-0102 Farsight Financial Services, L.P. claimant vs. Hieu Vu, respondent. ATTORNEYS: For claimant appeared Curtis E. Kittelson - Cambridge, MA. Respondent did not appear. DATE FILED: 1/9/98 CASE SUMMARY: Claimant alleged failure to pay debit balance in brokerage account. Claim Data Award Data Claim: $2,668.81 Award: $2,668.81 Atty Fees: $875.00 Atty Fees: $.00 Filing Fees: $575.00 Filing Fees: $575.00