AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Paul Mosby and Preferred Travel Service, Inc. and , 99-01281 Minneapolis, Minnesota Name of Respondents Prime Charter, Ltd. Corporate Securities Group, Inc. Scott Alan Rubin REPRESENTATION OF PARTIES Paul Mosby and Preferred Travel Service, Inc. ("Claimants") were represented by Ted S. Meikle, Esq., Meikle Professional Association, Minneapolis, Min

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03414 Frederick L. Ashler and Carolyn F. Ashler, Claimants vs. Roger Stubbs and Carlos Cajero, Respondents. ATTORNEYS: Claimants appeared Pro Se., Tucson AZ. For Respondents appeared Ronald E. Wood, Esq., San Francisco, CA. DATE FILED: August 8, 2000 CASE SUMMARY: Claimants alleged that Respondents breached their fiduciary duty and mishandled their account. Claimants maintained

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name Of Edward and Priska Ratkovich v. Case No. 99-01279 of Respondents Dean Witter Reynolds Inc. (n/k/a Morgan Stanley Dean Witter, Inc.) Mark A. Rodgers REPRESENTATION OF PARTIES Claimants Edward Ratkovich and Priska Ratkovich ("Claimants") were represented by Burton H. Finkelstein t Esq. and Shannon P. Kerriry, Esq. of the law firm of Finkelstein, Thompson &

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Kenneth J. Hearron and Stephanie Hearron, Claimants vs. The Boston Group, L.P. and Vernon Brown, Respondents, Case Number: 99-01272 Hearing Site: Seattle, Washington REPRESENTATION Op PARTjfES Claimants, Kenneth J. Hearron and Stephanie Hearron, hereinafter referred to as "Claimants": Laurel H. Siddoway, Esq., Randall & Danskin, P.S,, Spokane, Washington Respond

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William J. Hickmann Revocable Trust, Claimant vs. Ameritrade, Inc., Respondent. Case Number: 99-01270 Hearing Site: Milwaukee, Wisconsin REPRESENTATION OF PARTIES Claimant, William J. Hickmann Revocable Trust ("Hickmann"), hereinafter referred to as "Claimant", was represented by James G. Schweitzer, Esq., Schweitzer & Cincotta, LLC, of Milwaukee, Wisconsin. Respondent, Amerit

Award NASD Reaulation. Inc. In the Matter of the Arbitration Between: Russell Reed and Lois Jane Reed, Claimants vs. IAR Securities Corporation, Fairchild Financial Group, Inc., and Geoffrey Paul Scalera, Respondents. Case Number: 99-01269 Hearing Site: Cleveland. Ohio REPRESENTATION OF PARTIES Claimants, Russell Reed and Lois Jane Reed ("The Reeds"), hereinafter referred to as "Claimants", were represented by Carter R. Dodge, Esq., of Cleveland, Oh

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jimmy N. Walker, Claimant v. Marc Weisman, Nick Solomon and Gruntal & Co., Respondents Case Number: 99-01268 Hearing Site: San Diego. California REPRESENTATION OF PARTIES For Claimant: . Richard L. Finegold, Esq. Jones, Penfield, Harden, Finegold & Polakiewicz San Diego, California For Respondent Marc Weisman: Andrew W. Sidman, Esq. Butler, Fitzgerald & Potter New York

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Thimi Pappas Case No. 99-01266 Name of Respondent Wheat First Securities, Inc. REPRESENTATION OF PARTIES Claimant, Thimi Pappas ("Claimant") was represented by Melvin E. Caine, Attorney at Law, Media, PA. Respondent, Wheat First Union f/k/a Wheat First Butcher Singer ("Respondent") was represented by Brian A. Cariis, Esq, of the law firm of Start & Star

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Claimants The Guy B. and Nadine C. Kegley Trust The Smith Trust v. NASD Case No. 99-01265 Hearing Location: Washington, D.C. J.C. Bradford & Co. Randy H. Sanders REPRESENTATION OF PARTIES Claimants The Guy B. and Nadine C. Kegley Trust ("The Kegley Trust"), Nadine C. Kegley, Trustee ("Kegley") and The Smith Trust, Dorothy J. Smith, Trustee ("Smith"): Marvin L, Szymk

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant James E. Bergeron vs. Case No. 99-01264 Name of Respondent Charles M. Bowles REPRESENTATION OF PARTIES Claimant, James E, Bergeron, hereinafter referred to as "Claimant": Douglas R. Lally, Esq., Jenkintown, Pennsylvania. Respondent, Charles M. Bowles, hereinafter referred to as "Respondent," did not appear. CASE INFORMATION Statement of Claim filed