Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant S. Hamilton Chaney Case No. 99-05273 Name of Respondents Prudential Securities, Inc. James A. Kujawski Hearing Location: Baltimore, MD REPRESENTATION OF PARTIES Claimant, S. Hamilton Chancy, liereinafter referred to as "Claimant": Brice G. Dowell, Esq., Attorney at Law, Towson, MD. Respondents, Prudential Securities, Inc. ("Prudential") and

^vj anul&i '••/ < /•>•• /'/V^^ Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Valli Leigh Perisho v. Raymond James Financial Services, Inc., Raymond James Financial, Inc., Raymond James & Associates, Inc., Robert Thomas Securities, Inc., and Destry Witt Case Number: 99-05270 Hearing Site: Portland, Oregon REPRESENTATION OF PARTIES Claimant Valli Perisho: Brian Posewitz, Esq., Tonkon Torp, LLP, Portla

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Patrick LoRusso, (Claimant) vs. Madison Capital Markets Corp. and Joseph Papeo, (Respondents) Case Number: 99-05265 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Patrick LoRusso, hereinafter referred to as "Claimant": Patrick Joyce, Esq., Freidson & Joyce L.L.P., New York, NY. Respondent, Madison Capital Markets Corp. ("Madison"), did not appear at t

Award NASD Dispute Resolution, inc. In the Matter of the Arbitration Between: Patrick and Deborah E. Morin, Claimants Case Number: 99-05258 Vs. Hearing Site: Cleveland, Ohio Key Investments, Inc., Respondent. REPRESENTATION OF PARTIES Claimants Patrick and Deborah E. Morin ("Morin") were represented by Charles P. Royer, Esquire, of Kaufman & Cumberland Co., L.P.A., Cleveland, Ohio. Respondent Key Investments, Inc. ("Key") was represented

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names r of Claimants Ruth G. Stape Trust Ruth G. Stape Case No. 99-05256 Names of Respondents Jack T. Gurr Richard B. Crouse G.A. Repple & Company GVC Financial, Inc. REPRESENTATION OF PARTIES For Ruth G. Stape Trust and Ruth G. Stape, hereinafter collectively referred to as "Claimants": Neal J. Blaher, Esq., Orlando, FL. For Respondents Jack

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Keith A. Denison and 99-05254 Scottsdale, Arizona Name of Respondents Prudential Securities, Inc. Rhonda Lynn Rommel Joseph John Clancy REPRESENTATION OF PARTIES Keith A. Denison ("Claimant") was represented by Paul J. Roshka, Jr., Esq. and Alan S. Baskin, Esq., Roshka Heyman & DeWulf, PLC, Phoenix, Arizona. Prudential Securities, Inc. (

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Frederick K. Ploch and Rebecca Ploch and 99-05244 Southfield, Michigan Centex Securities Corp. Peter J. Worrell REPRESENTATION OF PARTIES Frederick K. Ploch and Rebecca Ploch ("Claimants") were represented by Michael G. Oliva, Esq., Loomis, Ewert, Parsley Davis & Getting, Lansing Michigan. Centex Securities Corp. ("Centex") was represented by Craig Biddick, Centex S

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Thomas McGovern, (Claimant) vs. J.W. Barclay and Co., Inc., and David Persaud, (Respondents) Case Number: 99-05239 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Thomas McGovern, hereinafter referred to as "Claimant": Dan Druz, Esq., Attorney at Law, Manasquan, NJ. Respondent, J.W. Barclay and Co., Inc., ("Barclay"), did not appear at the hearing.

fV Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Robert D, Dean and Lillian G. Dean Case No. 00-05553 "Mamp Investors Security Co., Inc. E. Geary Crist Hearing Site- Norfolk, V A Claimants, Robert D. Dean and Lillian G. Dean, hereinafter collectively referred to as "Claimants" represented themselves at the hearing. Respondent, E. Geary Crist, hereinafter referred to as "Respondent Crist" represented himself

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: First Union Securities, Inc. f/k/a Wheat First Union, (Claimant) vs. Lance Feidhun, Vivian Burch, and Richard Galgano, (Respondents) vs. Carlton Collins, Steven Beck, Frank Martin, and Gray Houghton (Third-Party Respondents) Case Number: 99-05238 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, First Union Securities, Inc. f/k/a Wheat First Union, hereinaft