Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Name, of the Claimant Case •Miimhftr: 00-05543 Brian Krause nf the Tiespnndents Hearing Site! Houston, Texas Signal Securities, Inc., and Southwest Securities, Inc. Claimant Brian Krause hereinafter referred to as "Claimant": Michael Stanley, Esq. of Berine, Maynard & Parsons, L.L.P. located in Houston Texas. Respondent Signal Securities, Inc., ("Signal"): Gilbert W. Boyce

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Alan Tossman & Sandra Falck Tossman Case No. 99-05192 Name of Respondents Ferris, Baker Warts, Inc. Jerald M. Lewis REPRESENTATION OF PARTIES Claimants, Alan E. Tossman and Sandra Flack Tossman, hereinafter collectively referred to as iU< Cla^ O-;i;];.''.jif"O Respondents, Ferris, Baker Watts, Inc. and Jerald M. Lewis, hereinafter collectiv

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds, Inc., Claimant v. Rebecca A. Hooker, Respondent Case Number: 99-05185 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Sue Junn, Esq. Kern & Gonzalez Los Angeles, California For Respondent: Richard J. Papst, Esq. Law Offices of Richard J. Papst Bakersfield, California CASE INFORMATION Statement of Claim

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Christos Grigoriou, Catherine Grigoriou, and the Grigoriou Family Limited Partnership, (Claimants) vs. Tucker Anthony Incorporated and Mark E. Deming, (Respondents) Case Number: 99-05182 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Christos Grigoriou, Catherine Grigoriou, and the Grigoriou Family Limited Partnership, hereinafter collectively referred t

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: James W. Herrick, (Claimant) vs. Gaines Berland, Inc. and Bryan Brush, (Respondents) Case Number: 99-05178 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimant, James W. Herrick, hereinafter referred to as "Claimant": Timothy T. Tucker, Esq., a sole practitioner, Medford, MA. Previously represented by: Paul J. Sevffert, Esq., a sole practitioner, Wilmington,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Alvin Schubert and Elfriede Schubert, (Claimants) vs. Whale Securities Co., L.P., Barington Capital Group, L.P,, Bear Stearns & Co., Inc., LNA Capital Corp., Jesse Bromberg, James A. Mitarotonda, Edwin Kantor, Mark Cooper, James N. Giordano, Jerome Snyder, John Rizzo, and John Telfer, (Respondents) Case Number: 99-05177 Hearing Site: New York, New York REPRESENTATION OF PARTIE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-05171 Michael C. Dukeshier and Jennifer J. Dukeshier, claimants vs.Ameritrade, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Lee's Summit, MO. For respondent appeared James J. Vihstadt of Ameritrade, Inc. Bellevue, NE. DATE FILED: November 16, 1999 CASE SUMMARY: Claimants alleged that respondent failed to execute his buy limit order for 1500 shar

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Michael A. Rogawski Case No. 99-05170 Name of Respondents Raymond, James & Associates, Inc. Raymond James Financial Services Hearing Location: Baltimore, MD REPRESENTATION OF PARTIES Claimant, Michael A. Rogawski ("Claimant") represented himself. Respondents, Raymond, James & Associates, Inc. ("RJA") and Raymond James Financial Services ("RJ

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Harry Tryens & Marie Tryens JTTEN Case No. 99-05168 Name of Respondents Paul D. Blasetti, Sr. William R. Frazier Bryn Mawr Investment Group, Inc. Hearing Site: Philadelphia, PA REPRESENTATION OF PARTIES Claimants, Harry Tryens and Marie Tryens JTTEN, hereinafter collectively referred to as "Claimants": Ralph J. Kelly, Esq., Abrahams, Loewen

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Barron Chase Securities Case No. 99-05 167 Jacob Robinson & Bryan Robinson JTWROS Hearing Site- Pittsburgh, PA ° Claimant, Barron Chase Securities, hereinafter referred to as "Claimant": Brett Alan Verona, Esq., Law Office of Brett Alan Verona, Tampa, FL. Respondents, Jacob Robinson and Bryan Robinson, JTWROS, hereinafter collectively referred to as "Respondents" ap