N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATOR. INC. i CASE: 98-00391 ' -•&• Marvin Schuck, claimaSTvs. D.H. Blair & Co., and Karl Jesaitis, respondents. ^^ ATTORNEYS: Claimant appeared Pro Se, Mt. Laurel, NJ. For Respondent D.H. Blair & Co. Inc., appeared in-house counsel, Robert L. Herskovits, Esq., New York, NY. ; For Respondent Karl Jesaitis appeared Joseph R. Corozzo, Jr., of the firm, I&ibinstein & Corozzo,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECTRTTIES DEALERS REGULATION. INC. CASE: 98-00390 John C. Knox & Sons Partnership, claimant vs. Biltmoie Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Lewistown, PA. For Respondent Appeared its in-house counsel, William Nortman, Esq., Fort Lauderdale, FL. DATE FILED: February 2, 1998. CASE SUMMARY: Claimant alleged that respondent failed to issue 50 shares of Tricon Global Resta

N.A.S.B. REGULATION, INC. AWARD CASE: 98-00389 Siham K. Toma, claimant vs. Michael Mortenson and Joseph Charles & Associates, Inc., respondents. ATTORNEYS: For claimant appeared David H. Zimmer, Esq. - Greenwich, CT. Respondents did not appear. DATE FILED: 2/9/98 CASE SUMMARY: Claimant withdrew his allegations. Claim Data Claim: $3,381.16 Interest: Requested Punitive: $5,000.00 Atty Fees: Requested Filing Fees: $150.00 Other

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Rosemarie D'Alessandro and Frank D'Alessandro, Rosemarie D'Alessandro, Custodian for Michael John D'Alessandro, and Rosemarie D'Alessandro, Custodian for John Charles D'Alessandro, (Claimants) v. Investors Associates, Inc., Lesley Berts, and Francois Xavier Poirier, (Respondents) Case Number: 98-00384 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants Rosemarie

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00383 Kent Pachl, claimant vs. Ash & Co. Incorporated, respondent. ATTORNEYS: For claimant appeared Gary A. Peterson, Esq. - Dublin, CA. Respondent did not appear. DATE FILED: 2/2/98 CASE SUMMARY: Claimant alleged unauthorized trading and failure to execute. Claim Data Award Data Claim: $8,437.00 Award: $8,437.50 Interest: Requested - Interest: 10%

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00382 John B. Barry, claimant vs. Ameritrade, respondent. ATTORNEYS: Claimant appeared Pro Se. - Sugar Grove, NC. For Respondent appeared James A. Rickett - Omaha, NE. DATE FILED: 2/2/98 CASE SUMMARY: Claimant alleged failure to execute trade. Claim Data Award Data Claim: $3,900.00 Award: $.00 Interest Requested Interest: $.00 Filing Fees: $125.00 Filing Fees: $.00 Costs: Requested Costs $.00

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant . ' • . . Michael Bedner and Case Number 98-00380 Name of Respondent Charles Schwab & Co., Inc. REPRESENTATION OF PARTIES Michael Bedner (hereafter referred to as "Claimant") was represented by James A. Stevens, Esq. of Richmond, Texas. Charles Schwab & Co., Inc. (hereafter referred to as "Respondent") was represented by Sean Median, Esq. CASE INFOR

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Bernard Edelstein Names of Respondents Prudential Securities, Inc. Richard A. Golub Case No. 00-05439 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Bernard Edelstein ("Edelstein") hereinafter referred to as "Claimant": C. David Durkee, Esq., Angones, Hunter, McClure, Lynch and Williams, Miami, Florida. For Prudential Securi

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant John Strode, and Shari Strode and 98-00377 Name of Respondents Meyers-Pollock Robbins, Inc., John Dixon, and Issach Flash . REPRESENTATION OF PARTIES John Strode, and Shari Strode ("Claimants") appeared on their own behalf. Meyers-Pollock Robbins, Inc.("MPR") was not represented and failed to appear at the hearing- John Dixon, a/k/a Yan Dikshtey

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between i ( Name of Claimant Jocelyn Morin vs. 98-00375 Name of Respondents Flynn Options Trading Co. Thomas Flynn REPRESENTATION For Claimant: Sidney L. Gold, Esq. of Lovitz and Gold, Philadelphia, Pennsylvania. For Respondents: Steven R. Williams, Esq. of Mesirov, Gelman, Jaffe, Cramer & Jamieson, Philadelphia, Pennsylvania. CASE INFORMATION Statement of Claim fil