AWARD NASD Regulation, Inc. CASE: 98-00271 Sandra McCallum and John McCallum, claimants vs. Hambrecht & Quist, LLC., respondent. ATTORNEYS; Claimant appeared Pro Se, Fort Worth, TX For Respondent appeared in-house counsel, Steven N. Machtinger, Esq., San Francisco, CA DATE FILED: January 21, 1998. CASE SUMMARY: Claimant indicated that two hours before the market opened on 10/27/1997, they requested that their account be closed by selling all securit

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00269 Paul Capobianco and Barbara Capobianco, claimants vs. Cowen & Co., respondent. ATTORNEYS: Claimants appeared Pro Se, Walpole, MA. For Respondent appeared in-house counsel, Peter Byer, Esq., New York, NY. DATE FILED: January 21, 1998 CASE SUMMARY: Claimants alleged that respondent has failed to produce their First Priority Group stock certificates.

AWARD i i NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Robin Kilroy v. Arbitration No. 98-00264 Name of Respondent Fred Burrows and Smith Barney Shearson REPRESENTATION For Claimants: H. Thomas Fehn, Esq. Elizabeth Lowery, Esq. Fields, Fehn & Sherwin Los Angeles, California For Respondents Fred Burrows and Smith Barney Shearson: David Bartholomew, Esq. Kessal, Young and Logan

AWARD NASD REGULATIONJNC. In the matter of the Arbitration Between Name of Claimant Ronald J. Supinger Name of Respondents A.G. Edwards & Sons, Inc. and David Steele Arbitration No. 98-00263 For Claimant: For Respondent David Steele: REPRESENTATION Arthur S. Leider Investors Arbitration Specialists San Diego, California David Steele In Pro Per El Cajon, California CASE INFORMATION Statement of Claim filed

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Charles Schwab & Company, Inc. Claimant, and No. 98-00259 Lawrence L. Mathers dba Webster Press Respondent. REPRESENTATION OF PARTIES Claimant, Charles Schwab & Company, Inc., ("Claimant"), was represented by Richard A. Karoly in house attorney at Charles Schwab located in San Francisco, CA. Respondent, Lawrence L. Mathers dba Webster Press , ("Respondent"), were represente

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Charles Schwab & Co., Inc. Case No. vs. 98-00256 Name of Respondent Carl DeFrietas REPRESENTATION For Claimant Charles Schwab & Co., Inc. ("Claimant") appeared Steve Lanum, Esq., Corporate Attorney for Respondent located in San Francisco, California. Respondent Carl DeFrietas ("Respondent") appeared pro se. CASE INFORMATION Claimant's Statement

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Prudential Securities Incorporated 96-00894 Name of Respondent Stan Parks REPRESENTATION For Claimant: Prudential Securities Incorporated ("Prudential") was represented by Daniel B. Scotti, Esq. of Coffield, Ungaretti & Harris, located in Chicago, Illinois. For Respondent: Stan Parks ("Parks") did not appear. CASE INFORMATI

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Paul & Janet Riccobono Case Number: 96-00893 REPRESENTATION Paul and Janet Riccobono (collectively "Claimants") were represented by Donna Russo, Esq. of the law firm of Russo & Kieck, Hackensack, New Jersey. Eton Chambers ("Respondent") represented himself. CASE INFORMATION Claimants' Statement of Claim was filed on February 28, 1996. Claimant Jane

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Barbara D. Stewart 96-00891 Wheat First Securities, Inc. Robert Weitzner CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on February 28, 1996, Claimant Barbara D. Stewart ("Claimant"), who appeared Pro Se, alleged that Respondents Wheat First Securities, Inc. ("WFS") and Robert Weitzner (

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant First Union Securities, Inc. and 00-05423 Scottsdale, Arizona Name of Respondent Randy M. Bianchi RTCPRTCSF.NTATIQN OF PARTTF.S First Union Securities, Inc. ("Claimant") was represented by Diane C. Fischer, Esq. and Ronald P. Kane, Esq., Kane & Fischer, Ltd., Chicago, Illinois. Randy M. Bianchi ("Respondent") was represented by G. Todd Jackson,