Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Krystyna U. Kaszubowski, Claimant v. Dean Witter Reynolds Inc., Respondent. Case Number: 98-00453 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: For Respondent: William W. Bloch, Esq. William Bloch & Associates, LLP Beverly Hills, California Timm A. VerDuin, Esq. Dean Witter Reynolds Inc. SanFransisco, California CASE INFORMAT

AWARI> NASD Regulation, Inc. In the Matter of the Arbitration Between. Name of Claimant Jerry L. Womack and Case Number 98-00448 Name of Respondent Foster Jeffries Securities Corporation REPRESENTATION OF PARTIES Jerry L. Womack (hereafter referred to as "Claimant") appeared pro se. Foster Jeffries Securities (hereafter referred to as "Respondent") was represented by Debra M. Snyder, Esq. of Goldstein & DiGioia, LLP, located in New York, New

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00445 Alice Boote, claimant vs. Murphey, Marseilles, Smith & Nammack, Inc^ respondent. ATTORNEYS: For claimant appeared Thomas J. Canavan, Jr., Esq. - Manhasset, NY. Respondent did not appear. DATE FILED: 2/4/98 CASE SUMMARY: Claimant alleged failue to pay commissions. Claim Data Award Data Claim: $7,561.00 Award: $7,561.00 Interest: Requested Inte

flPR.13.1998 7 = 3EfiM NflSD REGULATION PL NO,320 P.A N.A.S.D. AWAKD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between of Claimants J. C. Bradford & Co. JohnR. Schwartz Name 98-00439 consolidated with 98-00451 Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For CUimaDt J.C. Bradford & Co. ("Bradford"): Linda Gibbons Willis, Esq., Associate General Counsel, J.C. Bradford &. Co., Nas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Iain Horsburgh, Steven W. McConnell and Gerald N. Daffner (Claimants) vs. Ridgewood Capital Funding, Inc. and William Potter (Respondents) Case Number: 98-00429 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Iain Horsburgh ("Horsburgh"): Catherine A. Helwig, Esq., Snow Becker Krauss P.C., New York, NY. Previously represented by: Gerald N. Daffner, Esq., L

AWARD NASD Regulation, Inc. CASE: 98-00427 Thomas Jauss and Joan Jauss, claimants vs. William Scott & Company, LLC and Joseph Losacco, respondents. ATTORNEYS: Claimants appeared Pro Se, Bedford, MA. Respondent Joseph Losacco failed to respond to the Statement of Claim. DATE FILED: February 3, 1998 CASE SUMMARY: Claimant alleged respondent failed to execute a stop loss order for shares of U.S. Diagnostic Inc stock. Claim Data Award Data C

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Robert Walton and Scott Hermo (Claimants) v. Nomura Securities International, Inc. and Alex Noujaim (Respondents) Case Number: 00-05451 Hearing Site: New York, New York Nature of the Dispute: Associated Persons vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimants Robert Walton ("Walton") and Scott Hermo ("Hermo") hereinafter collectively referred to as "Claimant

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Colin Ma, (Claimant) vs. Global Strategies Group, Inc., Jamie Morrill, Robert Carlin, John Williams, and First Southwest Company, (Respondents). Case Number: 98-00424 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Colin Ma hereinafter referred to as "Claimant": Alan L. Reeves, Esq., Gonsalves & Kozachenko, Fremont, California. Robert Carlin and Global Strategie

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant The Estate of Marvin J. Nissman vs. Case No. 98-00422 Names of Respondents First Montauk Securities Corp, Annette Soldo REPRESENTATION For Claimant Estate of Marvin J. Nissman ("Claimant") appeared Edward Werner, Esq., attorney at law, located in Jackson, New Jersey. For Respondents First Montauk Securities Corp. ("First Montauk") and Annette Soldo

AWARD .REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Janney Montgomery Scott, Inc. Case Number and 98-00417 Name of Respondent James R. Bell REPRESENTATION OF PARTIES For Janney Montgomery Scott, Inc. ("Claimant") appeared Joseph J. Dougherty, Esq., of Joseph J. Dougherty & Associates, located in West Chester, Pennsylvania. For James R. BellfRespondent") appeared Michael T. Fairell,Esq., of Post& Schell,P.C.,