N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00310 J.W. Barclay & Co., Inc. , claimant vs. Jackie Rumph, respondent. ATTORNEYS: For Claimant appeared Theo S. Basis - New York, NY Respondent did not appear. DATE FILED: 1/26/98 CASE SUMMARY: Claimant alleged money owed on promissory note and debit balance in personal account. Claim Data Award Data Claim: $9,820.49 Award: $9,820.49 Interest

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Plumbing Solutions Ltd. Plumbing Solutions Ltd. Pension Plan vs. 98-00309 Name of Respondents Chris Jansen Thomas Casolaro REPRESENTATION For Claimants Plumbing Solutions Ltd. and Plumbing Solutions Ltd. Pension Plan (collectively "Claimants"): Jeffrey S. Abraham, Esq., New York, New York For Respondent Chris Jansen ("Jansen"): Louis Miron, Esq., W

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Craig P. McGuinn, II David Apetz 98-00307 Name of Respondents James Sheehan Shamus Group, Inc. REPRESENTATION Claimants Craig P. McGuinn, II ("McGuinn") and David Apetz ("Apetz"), (together "Claimants") appeared pro se. For Respondents James Sheehan ("Sheehan") and Shamus Group, Inc. ("Shamus"), together "Respondents") appeared Mitchell C. Elma

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Harold Stoll, Claimant v. HGI, Inc., Joseph J. Tuozzo, Walter St. Surin, Stephen Craig Palumbo, Mark Arthur Hanna, John Simonetti, Fiserv Correspondent Services, Inc. n/k/a/ Fiserv Securities, Inc., Respondents Case Number: 98-00302 Hearing Site: San Francisco, California Nature of the Dispute: Customer v. Members and Associated Persons REPRESENTATION OF PARTIES For Claimant

AWARD i i NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Shawn Araghi v. Arbitration No. 98-00300 Name of Respondents Dakin Securities Corporation, Robert B. Hutchinson, Samuel D. Skinner, Gregory V. Palmer, Richard C. Casey and John H, Dakin REPRESENTATION For Claimant: • Steven Miller, Esq. Law Offices of Steven Miller Encino, California For Respondent Dakin Securities Corporation an

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Paul R. Gallo and Mary M. Gallo vs. Case No. 98-00299 Name of Respondents Sterling Foster & Co., Inc. James Walsh REPRESENTATION Claimants Paul R. and Mary M. Gallo ("Claimants") appeared pro se. Respondent Sterling Foster & Co., Inc. ("Sterling Foster") did not enter an appearance in this matter. For Respondent James Walsh ("Walsh") David A. G

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00298 Roy Spaulding, claimant vs. Pacific Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, - San Mateo, CA. For respondent appeared Michael Demma - Beverly Hills, CA. DATE FILED: 1/23/98 CASE SUMMARY: Claimant alleged failure to place correct option order. Claim Data Award Data Claim: $2,850.00 Award: $837.50 Filing Fees: $.00 Filing Fees: $.00 Other: $.00 Other: $.00 AWA

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant *• , The Nancy A. Bowea Trust Case No- 98-00297 Name of Respondent Peter Liounis REPRESENTATION OF PARTIES Claimant Tne Nancy A. Bowen Trust ("Claimant") was represented by John C. Bowen, A Trustee of the Trust, Huntingdon Valley, PA. Respondent Peter Uounis (^Respondent") did not appear in this matter. -< ; c r: -^ CASE INFORMATION Statement of

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between David F. Zupke, Trustee of the Maria Zupke Revocable Living Trust and 00-05426 Southfield, Michigan Michigan Securities, Inc., and Raymond L Aretha REPRESENTATION OF PARTIES David F. Zupke, Trustee of the Maria Zupke Revocable Living Trust ("Claimant") was represented by Anthony V. Trogan, Esq., West Bloomfield, Michigan. Claimant was acting pro se until on or about

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Names of Claimants Katherine A. Pisaneschi Katherine A. Pisaneschi Trust vs. Case No. 98-00294 Names of Respondents Olde Discount Corporation (a/k/a Olde & Co., Incorporated) Edward A.Tracy REPRESENTATION For Claimants Katherine A. Pisaneschi ("Pisaneschi") and Katherine A. Pisaneschi Trust (collectively "Claimants") appeared Roger Wise, Esq. of the firm Heintzman,