N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES HFAT.ERS. INC. In the matter of the Arbitration Between Name of Claimants') Josephine V. Collins Name of Respondent^ Bill Google LaJolla Capital Corporation Len Harris NASD Arbitration No. 96-00428 REPRESENTATION For Claimant: For Respondent Bill Coogle: For Respondent LaJolla Capital Corp. For Respondent Len Harris: Appearance in pro per Appearance in pro per, by

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Barry Fischer, Barry Fischer c/f Bennett Fischer, Claimant v. Prudential Securities Incorporated and Nace Benun, Respondents. Case Number: 00-05368 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Barry Fischer Los Angeles, CA For Respondents: Renee Kwait Rettig Prudential Securities Incorporated. New York, NY CASE INFORMAT

N.A.S.D.R. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Harry J. York, Jr. Sharon A. York vs. NASDR Arbitration No.96-00420 Name of Respondent Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION For Claimants: Stephen D. Whittaker, Esq., Kailua-Kona, Hawaii. For Respondent: Jeffrey S. Portnoy, Esq., Cades Schutte Fleming & Wright, Honolulu, Hawaii.

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the Matter of the Arbitration Between Robert Mull Claimant NASD Arbitration v. No. 96-00413 Edward Grey Respondent REPRESENTATION OF PARTIES Robert Mull ("Claimant") was represented by Robert A. Fink. Esq.. San Diego, California. Edward Grey ("Respondent") was represented by Leslie Akins. Esq., Duckor Sprading & Metzger, San Diego California. CASE INFORMATION Claimant's S

N.A.S.D. AWARD NATIONAL ASSOCIATION QF SECURITIES pEALERS. INC. In the matter of the Arbitration Between Name of Gael Lehrer Livne and Sam Livne NASD Arbitration v. No.96-00407 Name of Respondents Michael Finizio and Dean Witter Reynolds, Inc. REPRESENTATION For Claimants: in pro per For Respondents: Curt H. Mueller, Esq. Dean Witter Reynolds, Inc. San Francisco, California CASE INFORMATION Statement of Claim filed: January 2

* NASD REGULATION, INC. AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Michael Green 96-00401 Name of Respondents Investors Associates, Inc. Joseph Longer Carlos Bertran REPRESENTATION For Claimant, Michael Green ("Claimant"), appeared Richard Daniel De Vita, Esq. a sole practitioner located in Hoboken, New Jersey. For Respondents, Investors Associates, Inc. ("IAI"), Joseph Langer ("Langer") and

AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Stifel, Nicolaus & Company, Incorporated and Case Number 96-00937 Name of Respondent PaidW.Lnman,!! REPRESENTATION OF PARTIES Claimant Stifel, Nicolaus & Co., Inc. was represented by Bart A. Boren, Esq. of Williams, Luttrell & Boren, P.C. located in Oklahoma City, OK Respondent Paul W. Inman, II was represented by Steph

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Yasu and The! ma Ohigashi 96-00392 Name of Respondents Jason Pollak George Carhart CASE SUMMARY In a claim filed with the National Association of Securities Dealers, Inc. on January 26, 1996, Claimants Yasu and Thelma Ohigashi, who appeared Pro Se, alleged that Respondents Jason Pollak ("Pollak") and George Carhart ("Carha

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants Roy E. and Jimmie M. Chatham 96-00387 Name of Respondent Merrill Lynch, Pierce, Fenner, & Smith Inc. CASE SUMMARY In a claim filed with the National Association of Securities Dealers, tnc. on January 26, 1996, Claimants Roy E, and Jimmie M. Chatham ("Claimants"), who appeared Pro Se, alleged that Respondent Merrill Lynch, Pier

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Wohl Family Trust Claimant NASD Arbitration v. No. 96-00385 Oppenheimer & Co., Inc. David Fahey Paul Kent Tom Hacker Respondents REPRESENTATION OF PARTIES Wohl Family Trust ("Claimant") was represented by Sidney C. Wohl, Oceanside, California. Oppenheimer & Co., Inc., David Fahey, Paul Kent, and Tom Hacker ("Respondents") were rep