Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Lawrence F. and Mary E. Chiappetta, (Claimants) vs. Marco Luca Celentano, (Respondent). Case Number: 98-00291 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Lawrence F. and Mary E. Chiappetta (collectively "Claimants") appeared pro se. For Respondent Marco Luca Celentano ("Respondent") appeared John E. MacDonald, Esq., Stark & Stark, Princeton, New Jersey. C

AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of ClaimantCs) Michael E. Mitchell Jennifer J. Mitchell Name of Respondent(s) J.B. Oxford & Company Rick White v. Arbitration No. 98-00289 For Claimants: For Respondents: REPRESENTATION Michael E. Mitchell Fremont, California Jeffrey S. Kob, Esq. Cynthia M. Schleindl, Esq. Miller, Milove & Kob San Diego, California CASE INFORMATIO

NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 98-00285 Award Page 1 ofjj^ NASD Regulation, Inc. Arbitrator Award In the matter of the Arbitration Between Name of Claimants National Restaurant Coordinators Inc. and Duane Johnson v. 98-00285 Name of Respondents Foster Jeffries Securities, LLC, Robert Steven Thomas, George M. Greco, Jr., and Steven L. Karno REPRESENTATION OF PARTIES For Claimants, Nation

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00282 Melissa M. Price, claimant vs. U.S. Clearing Corp. and Discover Brokerage Direct, respondents. ATTORNEYS: For claimant appeared Max Olim, Esq., - Atlanta, GA. For respondents appeared Judith Rosenberg, Esq., - San Francisco, CA. DATE FILED: 1/22/98 CASE SUMMARY: Claimant alleged failure to properly notify claimant of its margin call, and failure to abide b> its margin call. Claim Data Award Data

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Kass Schwin, Joan P. Myers, and Rudolph C. Luca and Angelina V. Luca, Joint Tenants in Common, Claimants vs. Elliot Krause Adler, Respondent. Case Number: 98-00281 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimants, Kass Schwin, Joan P, Myers, and Rudolph C. Luca and Angelina V. Luca, Joint Tenants in Common, (hereinafter collectively referred to as "Claimants)": Jenn

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Abdullah and Shahida Haroon v. Name of Respondents Klein, Maus and Shire, Inc., David Heredia, Mohammad Ali Khan, and William Triebel Arbitration No. 98-00278 REPRESENTATION For Claimants: For Respondents Klein, Maus and Shire, Inc., David Heredia, Mohammad Ali Khan, and William Triebel: Jonathan W. Evans, Esq. Jonathan W. Evans and

Award NASD Regulation, Inc. In the Matter Of the Arbitration Between Name of Claimant Kenneth D. Phillips vs. Case No. 98-00277 Name of Respondent Lehman Brothers Inc. REPRESENTATION OF PARTIES Claimant Kenneth D. Phillips ("Claimant") was represented by Edward T. Joyce, Esq. and Alexander T. Moore, Esq. of the law firm of Edwards T, Joyce & Associates, P.C., Chicago, IL. Respondent Lehman Brothers Inc. ("Respondent") was represented

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00275 Montrose Capital Management, Ltd., claimant vs. Thomas Cocuzza, respondent. ATTORNEYS: For claimant appeared Sheryl Stahl Reba, Esq. - New York, NY. Respondent did not appear. DATE FILED: 1/20/98 CASE SUMMARY: Claimant alleged breach of employment contract and failure to pay for loss of unauthorized trade. Claim Data Award Data Claim: $7,076.95 Award: $3,576.95 Interest: Requested Interest: $.00

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas A. Deleasa (Claimant) vs. The Harriman Group, Inc., Bernice Levine Lerner, Mark A. Hanna, Brian D. Scanlon, and Joseph M. Giannuzzi, (Respondents). Case Number: 98-00273 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant Thomas A. Deleasa "Claimant": George L. Mahr, Esq., Madison, New Jersey. Respondent The Harriman Group, Inc., ("Harriman") did not enter a

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Robert H. Taggart and 00-05424 Denver, Colorado Name of Respondents American Fronteer Financial Corporation, eVision USA.com, Fai Chan, Tong Wan Chan, Robert Trapp, Kwok Jen Fong, David Chen, Gary Cook, and Robert Jeffers, Jr. REPRESENTATION OF PARTTKS Robert H. Taggart ("Claimant") was represented by Martin M. Berliner, Esq.,