NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Richard Coie, General Partner, Cole Family Partners, LP Jai Gaur Joan M. Gil Jim Noonan Robert Patron Mark Schlefer Ronald Suster vs. Case No. 98-00360 Name of Respondents Duke & Co., Inc. Lawrence Rosenberg Victor Wang Salvatore Saporito REPRESENTATION For Claimants Richard Cole, General Partner, Cole Family Partners, LP ("

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Ralph Tamm Case Number and 98-00359 Name of Respondents Janney Montgomery Scott, Inc. Rayfield J. James, Jr. REPRESENTATION OF PARTIES For Ralph Tamm (" Claimant") appeared Theodore H. Jobes, Esq., of the law firm Fox, Rothschild, O'Brien & Frankel, LLP, located in Philadelphia, PA. For Janney Montgomery Scott, Inc. ("Janney") appeared Alexander D.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between: Name of Claimants Dean Wynn, Margaret Wynn and Quentin J, Fields, and . . 98-00357 Name of Respondent WMA Securities, Inc., • REPRESENTATION OF PARTIES Dean Wynn, Margaret Wynn and Quentin J. Fields (collectively as "Claimants") were represented by Kalju Nekvasil, Esq. and Stephen Krosschell, Esq., Goodman & Nekvasil, P.A., Clearwater, Florida and Patrick G. Moeller, Esq.,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00355 Dean Witter Reynolds, Inc., claimant vs. Paul Stephanian, respondent. ATTORNEYS: For claimant appeared Linda Gallagher, Esq. - New York, NY. Respondent Paul Stephanian did not appear. DATE FILED: 1/29/98 CASE SUMMARY: Claimant alleged breach of training agreement. Claim Data Award Data Claim: $10,000.00 Award: $.00 Filing Fees: $575.00 Filing

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Margaret C. Howard (Claimant) v. Donald & Co. Securities, Inc. (Respondent) Case Number: 98-00353 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Margaret C. Howard ("Howard") hereinafter referred to as "Claimant": Stephanie R. Cooper, Esq., Moses & Singer, LLP, New York, NY. Respondent Donald & Co. Securities, Inc.

, Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Dean Witter Reynolds Inc., (Claimant) vs. Henry Leong, (Respondent). Case Number: 98-00351 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Dean Witter Reynolds, Inc., hereinafter referred to as "Claimant": Michael A. Kraft, Esq., Gomberg Kane & Fischer, Ltd, Chicago, Illinois. Respondent Henry Leong, hereinafter referred to as "Respondent" was pro se. CASE INF

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Siegbert Allespach, Renate Allespach, and Rosemarie B. Keidel, and 98-00342 Name of Respondents John Hancock Distributors, Inc., John Hancock Mutual Life Insurance Company and WMA Securities, Inc. REPRESENTATION OF PARTIES Siegbert Allespach, Renate Allespach, and Rosemarie B. Keidel ("Claimants") were represented by Kalju Nekvasil, Esq. and Stephe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00341 Charles Schwab & Co v |nc., claimant vs. Hugh J. McAllister, HI, respondent. ATTORNEYS: For Claimant appeared Philip A. McLeod, of the firm, Keesal, Young & Logan, San Francisco, CA. Respondent did not respond to the Statement of Claim. DATE FIT .ED: January 28, 1998. CASE SUMMARY: Claimant alleged that respondent failed to pay the debit bala

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Dalager Engineering Company and Dalager Investments, Inc. and 98-00338 Omaha, Nebraska Names of Respondents Hanifen, Imhofflnc. n/k/a Hanifen, Imhoff Clearing Corp. Douglas William Klares Shane Tyrone Terras Frank John Casillo Angelo John Bosco Scott Hudson Follett Joseph J. Tuozzo Stephen Craig Palumbo Mark Arthur Hanna Bria

\ Award NASD Dispute Resolution In the Matter of the Arbitration Between: MK & MK Corporation, (Claimant) vs. KSH Investment Group, Inc., Paul Dorfman, and Harvey Kohn, (Respondents) Case Number: 00-05434 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, MK & MK Corporation, hereinafter referred to as "Claimant": Jenice L. Malecki, Esq., The Law Office of Jenice L. Malecki, New York, NY. Respondents, KSH Investment Group, Inc.