N.A.S.D^AWARD NATIONAL ASSOCIATION OF SECURITIES PEALERS In the Matter of the Arbitration Between Name of Claimants Kevin M. and Elizabeth L. fiayoe 96-03038 of espondent La Jolla Coital Corporation For Claimants: William J. Schifmo, Jr., Esq. of the law firm of Williams, Reed, Weinstein, Schifino & Mangione, P. A., Tampa, FL. For Respondent: James C. Weaver, Esq. in-house counsel at La Jolla Cental Corporation. CASE INFORMATION Statemen

MflV.18.1998 11=26AM NftSB REGULATION FL NO.579 P.21 N-A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name flf Claimants Deborah Pittiooa and Melissa Beecham, as Personal' Representatives of die Estate of Alfred M. Seaber and as Trustees of the" Alfred M. Seaber Trust., Alexina Lane, as Trustee of the Alexina Seaber Trust and Alexina Seaber, individually, and as beneficiary of 1he Alf

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Antoinette M. Hiatt, Claimant, vs. 96-03032 David Jacobson, and Smith Barney, Inc., Respondents. REPRESENTATION OF PARTIES Claimant Antoinette M. Hiatt ("Claimant") appeared on her own behalf. Respondents David Jacobson ("Jacobson"), and Smith Barney, Inc.("SBI") (or referred to jointly as "Respondents") were represented by Bruce E. Samuels,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants') Dean Witter Reynolds Inc. 96-03030 Name of Respondent(s) Jan E. Andreasen REPRESENTATION For Claimant Dean Witter Reynolds, Inc. ("Dean Witter"): Michael Taaffe, Esq. of Abel, Band, Russell, Collier, Pitchord & Gordon, Sarasota, FL. Respondent Jan Andreasen ("Andreasen") appeared pro se. CASE INFORMATION Statement of

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. DELTA EQUITY SERVICES CORPORATION, ) ) Claimant ) ) and ) CASE NO. 96-03026 ) PETER F. SCRIBNER, ) ) Respondent ) STIPULATED AWARD The claimant Delta Equity Services Corporation ("Delta") and the respondent Peter F. Scribner ("Scribner") hereby stipulate to entry of the following award: 1. Delta and Scribner shall forthwith instruct their counsel to arrange for payment to Delta

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Ronald V. Johnston, Claimant and Counter-Respondent, and No. 96-03025 W.B. McKee Securities, Inc., Respondent and Counter-Claimant, and McKee & Company, and William B. McKee, Respondents. REPRESENTATION OF PARTIES Claimant, Ronald V. Johnston, was represented by Peter Shenas, Esquire of The Law Office of Peter Shenas, located in San Diego, C

JflN.21.1999 li:25fiM N0.553 P.48 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name_of_Clafanant The Seibels Bruce Group, Inc. NASD CASE NO. 96-03021 of Respondents Prudential Securities Incorporated and William B. Danzell REPRESENTATION For Claimant: Joseph R. Manning, Esq. of Morris, Manning & Martin, Atlanta, Georgia and Stephen E. Carter, Esq. of Bethea, Jordan & Griffin, P.A., Hilton Head Island, South Caroli

NASD AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN § § MICHAEL J. LEWIS, § § CLAIMANT, § V. § NASD CASE NO: 96-03017 § BEN B. CRAVENS AND § OPPENHEIMER& Co., INC., § § RESPONDENTS. § § REPRESENTATION OF PARTIES Claimant, Michael J. Lewis, was represented by Victor Makris, Esq. of Houston, Texas. Respondents, CIBC OppenheimerCorp. formerly known as Oppenheimer& Company, Inc

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-05122 Nealon Scoones, claimant vs. Ameritrade, Inc., respondent. ATTORNEYS: Claimant, Nealon Scoones appeared Pro Se, Chicago, IL. For Respondent, Ameritrade, Inc., appeared James J. Vihstadt, in house counsel, Bellevue, NE. DATE FILED: November 17, 2000 CASE SUMMARY: Claimant alleged that respondent failed to properly process a "sell to close order" resulting in financial losses.

AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Michael Z. Landy v, NASD Regulation, Inc. Arbitration No. 96-03011 Name of Respondents Cantor Fitzgerald & Co. and Howard Lutnick REPRESENTATION For Claimant: Michael R. Mitchell, Esq. Los Angeles, California For Respondents: Robert F. Mace, Esq. Cantor Fitzgerald & Co. New York. New York CASE INFORMATION