NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC, CASE: 99-05076 Barbara J. Newby & Richard D. Newby, claimants vs. David Swanson and Stephanie Campbell, respondents. ATTORNEYS: Claimants, Barbara J. Newby & Richard D. Newby, appeared Pro Se, College Place, WA. Respondent, David Swanson, appeared Pro Se, West Linn, OR. Respondent, Stephanie Campbell, appeared Pro Se, West Linn, OR. DATE FILED: November 10, 1999 CASE SUMMARY: Claimants

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ira Cohen, (Claimant) vs. Emmett A. Larkin Co. Inc., Royal Hutton Securities Corp., and Alfred Caceres, (Respondents) Case Number: 99-05074 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Ira Cohen, hereinafter referred to as "Claimant": Gavin J. Tighe, Esq., Gardiner, Roberts, Toronto, Ontario, Canada. Respondent, Emmett A. Larkin Co. Inc. ("Larkin")".

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Case No. 00-05535 Name of Respondent Prudential Securities, Inc. Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES Juan Eduardo Morles Yeas ("Yeas"), hereinafter also referred to as "Claimant", appeared pro se. For Prudential Securities^ Inc. ("Prudential"), hereinafter also referred to as "Respondent": Donna L. Levy, Esq. of Boose Cas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Glenn Nortman, (Claimant) vs. Worthington Capital Group, Inc., Morgan Grant Capital Corp, Howard Zelin, and Russell Ehrens, (Respondents) Case Number: 99-05072 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Glenn Nortman, hereinafter referred to as "Claimant": Louis J. Schwartzberg, Esq., Moses & Singer LLP, New York, NY. Previously represented by: He

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between: James and Mina Faulkner, Ciaimants vs. Robert H. Taggart, Jr., Respondent. Case Number: 99-05065 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES Claimants, James and Mina Faulkner, hereinafter referred to as "Claimants": James Faulkner, Kingston, Washington Respondent, Robert H. Taggart, Jr., hereinafter referred to as "Respondent": Martin M. Berliner. Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants James Del Valle and Mary Del Valle Revocable Trust „ James and Mary Del Valle Helen D. Hover : Helen D. Hover as Trustee of the Ernest and Helen Hover Trust u Boris Shapiro Case No. 99-05063 Names of Respondents Sigma Financial Corporation Charlie Jean Littlejohn, Jr. Leonard J. Klucar, Jr. REPRESENTATION OF PARTIES For Claimants J

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC CASE: 99-05060 Richard B. Mancill and Amy E. Pounds, claimants vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimants, Richard B. Mancill & Amy E, Pounds, ("Claimants"), appeared Pro Se., Clemson, SC. For Respondent, Ameritrade, Inc. ("Respondent"), James J. Vihstadt, Regulatory Attorney for Ameritrade, Inc., Bellvue, NE. DATE FILED: November 8, 1999 CASE SUMMAR

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gary Savage Case No. 99-05053 Names of Respondents Olde Discount Corporation Philip Gregory Fischer Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Gary Savage ("Savage"), hereinafter referred to as "Claimant": J. Pat Sadler, Esq. of Sadler & Hovdesven, P.C., Atlanta, Georgia. For Olde Discount Corporation ("Olde") an

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between; Vito Colonna and Debra Colonna, Claimants Vs. Merrill Lynch Pierce Fenner & Smith, Inc., and Vicenzo Costan%o 7 and Adam Walter Schoesler, Respondents. Case Number: 99-05049 Hearing Site: Cleveland, Ohio ^PRESENTATION OF PARTIES Erwin J. Shustak, Esquire, of Shustak, Jalil & Heller, San Diego, California, represented r-vy Claimants Vito Colonna

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Anthony Tsocanos, (Claimant) vs. Gilford Securities, Inc., (Respondent) Case Number: 99-05046 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Anthony Tsocanos, hereinafter referred to as "Claimant": George J. Calcagnini, Esq., a sole practitioner, Mount Kisco, NY. Respondent, Gilford Securities, Inc., hereinafter referred to as "Respondent": Norman S.