N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Henry W. Pigora 95-03890 Names of Respondents Olde Discount Corporation David N. Rades REPRESENTATION For Claimant, Henry W. Pigora ("Pigora"): NeaL J. Blaher, Esq. of Orlando, FL. For Respondents, Olde Discount Corporation ("Olde") and David N. Rades ("Rades"): Marc S. Dobin, Esq. of Boose Casey Ciklin Lubitz Martens McBan

NASD REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Donald F. Lawrence, Jr and Case Number 95-03888 Names of Respondents Oppenheimer & Company, Incorporated and Harold M, Finstad REPRESENTATION OF PARTIES Donald F. Lawrence, Jr. ("Claimant") was represented by Barry G. Flynn, Esq. of Flynn, Hoefker & Thayer from Houston, Texas. Oppenheimer & Co., Inc.

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Manic of Claimantfs) Jay B. and Roxane E. Adams 95-03883 Name of Respondent(s') Summit Investment Corp. Ann Exline Starr John DaJv Hurd CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1995, Claimants Jay B. and Roxane E. Adams, who appeared Pro Se, alleged that Respondent Summit Investme

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Julie Kay Ireland 95-03882 Name, of.Respondents National Securities Corporation Sebastian Attardo CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 11, 1995 Claimant Julie Kay Ireland ("Claimant"), through her representative and counsel, Donald L. Carr, II of Smith, Schneider,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant David R. Dent 95-03877 Name of Respondent Greenway Capital Corporation Michael J. Demaio Joseph M, Guccione CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on August 10, 1995, Claimant David R. Dent ("Claimant 41 ), who appeared Pro Se, alleged that Respondent Greenway Capital

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECITRTTTKS DEALERS. INC. In the matter of the Arbitration Between Name of Claimants Lawrence R. Quin and Elaine S. Quin Name of NASD Arbitration No. 95-03410 Donaldson, Lufkin & Jenrette Securities Corporation, Nica Dunn and Barry J. Hartwyk For Claimants: For Respondents: REPRESENTATION Jolie Busch CaJifornia Investment Recovery Association Los Angeles, California Susan Hoffman, Esq.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE:01-01035 Gene Wm. Gonia and Sandra Hammond Gonia, claimants vs. A.G. Edwards and Sons, Inc. and Brian Harris, respondents. ATTORNEYS: For Claimants appeared Robert Carney, DR, La Crosse, WI. For Respondents appeared Clay L. Grumke, Esq., in-house counsel, St. Louis, MO. DATE FILED: March 1, 2001 CASE SUMMARY: Claimant alleged that respondents advised them to purchase stock that was

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant GKN Securities Corp. 95-03404 Name of Respondents Scott Kliewe Robert Gladstone Mario Figueroa Gene Kingman REPRESENTATION For Claimant GKN Securities Corp. ("Claimant") appeared David S. Smith, Esq., of the law office Smith Campbell and Paduano located in New York, New York. Respondent Scott Kliewe appeared pro se. For Third-Party Respondent Ro

NASDR AWARD U NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATIONS. INC. In the Matter of the Arbitration Between Michael Terrene e Raines Sylvia Stofleth-Raines Claimants NASDR Arbitration v. No. 95-03399 Cohig & Associates. Inc. Investments ^ M . , 4 . . . T , C National Awoctatnr r' Larry Isen Securities Deal- - Barry Parish Respondents All Rights Reserved REPRESENTATION OF E S Michael Terrence Raines and

U AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Robert A. Pallmer v. Arbitration No. 95-03393 Name of Respondent^ La Jolla Securities Corporation Thomas A. Carey REPRESENTATION For Claimant: Dennis w. Hartley, Esq., Colorado Springs, Colorado. For Respondent La Jolla Securities: Craig M. Biddick, La Jolla Securities Corporation, La Jolla, California For Re