U-1MODO 13.0ft Fron-NASt 2027286(152 MZI P.Q02/006 F-48D Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Janney Montgomery Scott, Inc., (Claimant) vs. James H. Davis, (Respondent) Case Number: 99-04714 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF Claimant, Janney Montgomery Scott, Inc., hereinafter referred to as "Claimant"; Joseph J. Dougherty, Esq., Joseph J. Dougherty & Associates, PC, West Chester, PA.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 99-04713 Christ Community Church of Grand Rapids, claimant vs. Old Kent Securities Corporation, respondent. ATTORNEYS: For Claimant appeared Jon D. Vander Ploeg, Esq. of the firm Smith, Haughey, Rice and Roegge, Grand Rapids, MI. Respondent appeared through its Vice President, Dana R. Dawe, Grand Rapids, MI. DATE FILED: October 19, 1999 CASE SUMMARY: Claimant alleged that responde

Award NASD Dispute Resolution In the Matter of the Arbitration Between: J. Kent Pepper, Claimant v. Joseph Charles & Assoc., Inc., a/k/a Joseph Charles & Associates, Inc., Andrew David Finch, Christopher Robert Esposito, Joseph Charles Visconti, Roy Thomas Amico, Michael Ferraro, Frank Nicholas Salvatore, Douglas Fulton Kaiser, Todd Richard Stone, Guy Steven Amico, and Scott Howard Goldstein, Respondents Case Number: 99-04706 Hearing Site: San Francisco

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 99-04551 William and Dolores Parker, claimants vs. PaineWebber, Inc. and Pershing Division of Donaldson, Lufkin & Jenrette, respondents. ATTORNEYS: For Claimants app For Respondent P; NJ. For Respondent P appeared in-house ared Stephen D. Spivey, Esq., Ocala, FL. neWebber, Inc. appeared in-house counsel, Amy Bard, Esq., Weehawken, rshing Division of Donaldson, Lufkin &

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edmund Coleman, John Fruscella, and Andrew Irish, Claimants vs. HSBC Securities (USA) Inc., Respondent Case Number: 99-04547 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Edmund Coleman ("Coleman"), John Fruscella ("Fruscella") and Andrew Irish ("Irish"), hereinafter collectively referred to as "Claimants": Jonathan Sack, Esq., Sack & Sack, New York

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-04546 Joseph W. Harrell and Laura Harrell, claimants vs. A.G. Edwards & Sons, Inc., respondent. ATTORNEYS: Claimants Joseph W. Harrell and Laura Harrell ("Claimants"), appeared Pro Se., Griffin, GA. For Respondent A.G. Edwards & Sons, Inc. ("Respondent"), Norman Buckvar, Litigation Counsel for A.G. Edwards & Sons, Inc., St. Louis, MO. DATE FILED: 10/01/1999

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Chris Dishman and Karen Dishman, Claimants Vs. First Montauk Securities Corp. and Dwight S. Jones, Respondents. Case Number: 99-04543 Hearing Site: Houston, Texas. REPRESENTATION OF PARTIES Neil S. Baritz, Esq. of Dreier & Baritz, Boca Raton, Florida, represented Claimants Chris and Karen Dishman ("Claimants"). Roni J. Hardy, Esq. of Santa Monica, Californi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Cal-Tex, Claimant v. Hanmi Securities, Inc. and Sung Soo Yan, Respondents Hanmi Securities, Inc., and Sung Soo Yan, Counter-Claimants v. Cal-Tex, Counter-Respondent Case Number: 99-04532 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant/Counter-Respondent: For Respondents/Counter-Claimants: Marc I. Zussman, Esq. Law Offices of Marc I. Zus

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Shirley L. Drost, as Trustee of the Shirley L. Drost, IRA and as Trustee of the Drost Living Trust Case No. 99-04530 Name of Respondents Dain Rauscher Incorporated, f/k/a Dain Bosworth, Inc.; and Michael Lee Schrank REPRESENTATION OF PARTIES Claimant Shirley L. Drost, as Trustee of the Shirley L. Drost, IRA and as Trustee of the Drost Li

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Preston Langley Asset Management, Inc., Claimant v. Edick G. Shahnazarian, Respondent Case Number: 99-04523 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: John E. MacDonald, Esq. Stark & Stark Princeton, New Jersey For Respondent: Edick G. Shahnazarian In Pro Per Glendale, California CASE INFORMATION Statement of Claim filed