Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald Blakely and Sherry Blakely, Claimants v. Jefferson Pilot Securities Corp.. d/b/a Jefferson Pilot Financial f/Wa Chubb Securities Corp. and Robert Berns, Respondents. Case Number: 99-00265 Hearing Site: Las Vegas. Nevada REPRESENTATION OF PARTIES For Claimants: For Respondent Robert Berns; For Respondent Jejfferson Pilot Securities: Neil J. Beller. Esq. Neil J. B

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: William J. Shaw, (Claimant) vs. Solomon Smith Barney, Inc. (Respondent) Case Number: 99-00264 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, William J. Shaw, ("Claimant"): Bruce L. Dean, Esq.: Karger, Key, Barnes & Springer, Dallas, Texas. Respondent, Solomon Smith Barney, Inc. (f/k/a Smith Barney) ("Respondent"): Victor A. Machcinski, Esq., Solomon Smith

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Nicholas J. Adkins, Claimant v. U.S. Clearing Corporation n/k/a Fleet Securities, Inc.; Hill, Thompson, Magid & Co., Inc. and Pyramid Financial Corporation through its subsidiary Wyse Securities, Respondent Case Number: 00-03274 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES For Claimant: Richard Sacks Investor Recovery Services Two Commercial Blvd. Suit

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Wayne Freeman vs. Kennedy, Cabot & Company Case Number: 99-00263 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant Wayne Freeman ("Claimant")- Leon Jenkins, Esq., Law Offices of Leon Jenkins, Marina Del Rey, California. Respondent Kennedy, Cabot & Company ("Respondent"): John L. Erickson, Jr. Esq., Jones Bell Abbott Fleming & Fitzgerald, Los Angeles, California.

m N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALEEIS REGULATION. INC. CASE: 99-00261 Capital Growth Management, Inc., claimant vs. William Randolph Thatcher, respondent. ATTORNEYS: Claimant Capital Growth Management Inc., appeared through its Chief Executive Officer, Edward C. Bonawitz, Atlanta, GA. Respondent William Randolph Thatcher, appeared Pro Se., Atlanta, GA. DATE FILED: January 20, 1999 CASE SUMMARY: Claimant alleged

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Providence Capital, Inc., (Claimant) vs. Guy Wyser-Pratte. Wyser-Pratte Management Co., Inc., and Wyser-Pratte & Co., Inc., (Respondents) vs. Herbert Demon, (Third-Party Respondent) Case Number: 99-00260 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Providence Capital, Inc. ("Providence"), hereinafter referred to as "Claimant**: David A. Barrett, Esq

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Franklin Bachman and 99-00255 Name of Respondent Piper Jaffray, Inc. n/k/a US Bancorp Piper Jaffray, Inc. REPRESENTATION OF PARTIES Franklin Bachman ("Claimant") appeared pro se. Piper Jaffray, Inc. n/k/a US Bancorp Piper Jaffray, Inc. ("Respondent") was represented by Mark S. Reed, Esq., US Bancorp Piper Jaffray, Inc., Minneapolis, Minnesota. CASE INFO

AWARD NASD Regulation, Inc. CASE: 99-00254 William N. Hoyer and Charlotte G. Hoyer, claimants vs. Salomon Smith Barney, Inc. and Kenneth C, Spell, respondents. ATTORNEYS: Claimants appeared Pro Se - Houston, TX. For Respondents appeared in-house counsel, Ann Parry, Esq. - New York, NY. DATE FILED: January 19 T 1999 CASE SUMMARY: Claimants alleged that they were deceived into buying shares of U.S. Diagnostic, Inc., a high-risk stock which

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Douglas Paris Case No. 99-00253 Names of Respondents Foster Jeffries Securities, LLC Frederick Hentschel Marcus Ramos REPRESENTATION OF PARTIES For Douglas Paris, hereinafter referred to as "Claimant": Randy Scott Zelin, Esq., Randy Scott Zelin, P.C., Westbury, New York. For Foster Jeffries Securities, LLC ("Foster Jeffries"), Frederick Hent

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Elliot Katz, (Claimant) vs. Adam Gitstein, (Respondent) Case Number: 99-00252 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Elliot Katz, hereinafter referred to as "Claimant": Theodore A. Krebsbach, Esq., Theodore A. Krebsbach & Associates, P.C., New York, NY. Respondent Adam Gitstein ("Gitstein"),hereinafter referred to as "Respondent": Aegis Frumento. Esq., Sing