Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ameritrade, Inc., Claimant v. James M. Steel, Mabel J. Steel, Mabel J. Steel Family Trust, Heather Steel and James M. Steel Investments, L.C., Respondents Case Number: 99-04944 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES For Claimants: For Respondents: Patrick B. Griffin Kutak Rock LLP Omaha, Nebraska John S. Lutz LeBoeuf, Lamb, Greene

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Susan Johnson and Gordon Johnson and 99-04942 Wichita, Kansas Name of Respondents Carey, Thomas and Associates, Inc. Alan Phares Tim Phares REPRESENTATION OF PARTIES Susan Johnson and Gordon Johnson ("Claimants") were represented by Chuck Milsap, Esq., Clayton C. Skaggs, Esq. And Stephen E. Robison, Esq., Fleeson, Gooing, Coulson & Kitch, L

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04932 Myron R. Richman, CLU, ChFC, claimant vs. Jefferson Pilot Securities Corp., and Jack E. Gregory, CLU, CFP, respondents. ATTORNEYS: Claimant Myron R. Richman ("Claimant"), appeared Pro Se., Los Angeles, CA. For Respondents Jefferson Pilot Securities Corp., and Jack E. Gregory, CLU, CFP ("collectively "Respondents"), Charlene Grant, Esq., Counsel to Jeffer

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04931 Olde Discount Corporation, claimant vs. Gregory Ruccione, respondents. ATTORNEYS: For Claimant appeared in house counsel Aaron L. Kleid, Esq., Detroit, MI. Respondent did not respond to the Statement of Claim. DATE FILED: November 2, 1999 CASE SUMMARY: Claimant alleged that respondnet failed to repay debit balance created through the purchase of 1,000 shares of Pyramid Tech C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04929 Dean Witter Reynolds, claimant vs. Patricia Chenault, respondent. ATTORNEYS: For Claimant Dean Witter Reynolds ("Claimant"), Stephen S. Berkely, Goomberg Kane & Fischer, Ltd., Chicago, IL. Respondent Patricia Chenault ("Respondent"), appeared Pro Se., Hot Spring Village, AR. DATE FILED: 11/02/1999 CASE SUMMARY: Claimant maintained that Respondent par

TPN-17-20131 13:45 FROM:JERRY HDQUER.fiTTY 71368S0676 TD:T13 554 7£tiB - AWARD NASD Dispute Resolution, Inc. In the Matter rf the Arbitration Between: Gary & Sandra R.Thompson, (Claimants) vs. Edward D, Jones & Co. and Willie Joe Howard, (Respondents). __ Case Number: 99-04921 Haarinn QJ+ Q - Houston, TX REPRESENTATION OF PARTIES Claimants Gary & Sandra R. Thompson hereinafter collectively referred to as "Claimants": Represented Themselves.

I Award NASD Dispute Resolution In the Matter of the Arbitration Between: TSfrmp. nf thf riiflrnpnf O* fif> Mnn-^r- 00-05531 Jefferson Pilot Securities Corporation Pp-spTMHl?nts Hiring Sift*-' Houston, Texas Charles Richard Gray, MJ Whitman, Inc., and First Security Investment, Inc. Ry.pnirjgF.TVT 4 TJO^ ny Claimant Jefferson Pilot Securities Corporation hereinafter referred to as "Claimant": Dennis J. Kelly, Esq., Liner, Yankelv

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Haideh Tabibzadeh SEP IRA FBO Haideh Fenner, Smith, Inc. and Martin R. Shandling Case Number: 99-04920 faideh Tabibzadh, et al v. Merrill Lynch, Pierce, Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimants: Roya Tabibzadeh Haideh Tabibzadeh Taraneh Tabibzadeh For Respondents: Merrill Lynch, Pierce, Fenner, Smith, Inc. Martin R. Sh

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-04916 Charles Schwab & Company, Inc., claimant vs. Jonathan M. Fustine, respondent. ATTORNEYS: For Claimant Charles Schwab & Company, Inc. ("Claimant"), Mauricio S. Beugelmans, Esq. Counsel for Charles Schwab & Company, Inc., San Francisco, CA. Respondent Jonathan M. Fustine ("Respondent"), appeared Pro Se., Chapel Hill, NC. DATE FILED: 11/01/1999 CASE SUM

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Linda W. Peterson v. Principal Financial Securities, Inc., Everen Securities, Inc., Clifton M. Price, et al Case Number: 99-04915 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant Linda W. Peterson hereinafter referred to as "Claimant": William J. Hawkins, Esq., Spring, Texas. Respondents, Principal Financial Securities, ('Principal") Inc., Everen Securities,