AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Principal Financial Securities, Claimant, and No. 96-01184 David A. Ross, Respondent, REPRESENTATION OF PARTIES Claimant Principal Financial Securities was represented by Terrence J. Fleming, Esquire, and Kim Ruckdaschel-Haley, Esquire, of Lindquist & Vennum P.L.L.P., located in Minneapolis, Minnesota. Respondent David A. Ross was represented by

1 N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Steven I. Chudy 96-01181 Name of Respondents Kensington Wells Inc. Douglas J. Guarino CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on March 18, 1996 Claimant Steven I. Chudy ("Claimant"), who appeared Pro Se, alleged that Respondents Kensington Wells Inc. ("Kensington") and D

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Philippe and Lauren Erramuzpe 96-01178 Name of Respondent F.N. Wolf & Co., Inc. Scott Sondak REPRESENTATION Claimants appeared Pro Se. For Respondent Scott Sondak ("Sondak") appeared Russell C. Burk, Esq., a sole practitioner, located in Denver, Co. CASE INFORMATION The Statement of Claim was filed on March 15, 199

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Saliba Sawakji and Silva Sawakji, Claimants v. Financial West Group and Edwin N. Keshishian, Respondents Case Number: 01-01178 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Gary D. Herzog, Esq. Law Offices of George J. Shalhoub, Esq. Encino, California For Respondents: Jeffrey K. Compton, Esq. David S. Markun, Esq. Liner Yankele

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 00-00704 Investex Securities Group, Inc., claimant vs. Joseph K. Morris and Dave R. George, respondents. ATTORNEYS: Claimant appeared through its President, Frank Somma, New York, NY. Respondents did not respond to the Statement of Claim. DATE FILED: February 16, 2000 CASE SUMMARY: Claimant alleged that respondents placed an order for 1000 shares of Anderson Group (ANDR). Claimant

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION In the Matter of the Arbitration Between Name of Claimant James M. Copperthite 96-01171 Name of Respondent La Jolla Capital Corp REPRESENTATION Claimant James M. Copperthite ("Claimant") was represented by John P. McKenna, Esq. of the law firm of Stohlman, Beuchert, Egan & Smith, Washington, DC. Respondent La Jolla Capital Corporation ("Respondent") was represented b

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Lawrence D. Bain 96-01167 Name of Respondent Dean Witter Reynolds Inc. REPRESENTATION For Claimant Lawrence D. Bain ("claimant") appeared Nancy L. HenUnckson, Esq., of the law offices of Coffield, Ungaretti & Harris. For Respondent Dean Witter Reynolds Inc. ("respondent"), appeared Mark T. Carberry, Esq. , of the law offices of Neal Gerber & Eisenberg.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Norma Stern Trust 96-01164 Name of Respondents Merrill Lynch Pierce Fenner & Smith Inc Federated Securities Corp. David Nethery CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. ("NASD") on March 15, 1996, the Norma Stern Trust ("Claimant"), through its trustee Norma Stern, who appeared

SEP.16.199G l:31FM NftSD REGULPTION FL NO.593 P.20 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between of laimants Samuel Kowalsky Bftrnfce Kowalsky Case No. 96-01161 arnes Prudential Securities, Inc. Sandy Jukel REPREaENTATiON OP PARTIES For Claimants; Arnold Y. Steinberg, Esq. of Investors' Rights, Inc.. Fort Lauderdale, Florida. For Respondent* Prudential Securities. Inc. ("Prudent

N.A.S.D. AWARD NATIQNAT. ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of Claimantfs' Leon Ozeran; Rimma Yurveva; Sarno. Inc. NASD Arbitration No. 96-01144 Name of Respondents) Gilford Securities. Inc.; Paul Curtis; Charles Sung Beck; Korea Pacific Capitol Ltd. REPRESENTATION For Claimant: For Respondent Gilford Securities, Inc. For Respondent Charles Sung Beck: Christine A. Page, Esq. Gilc