Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Susan B. Georges (Claimant) vs. CIBC Oppenheimer Corp. and Richard B. Fee (Respondents) Case Number: 98-03690 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Susan B. Georges, hereinafter referred to as "Claimant": John H. West, III, Esq. and Paul T. Gentile, Esq., West & Moore, LLC, Baltimore, MD. Respondent, CIBC Oppenheimer Corp. ("Oppenheimer"): Joseph

Amended Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant David W. Johnston Case No. 98-03685 Names of Respondents Investors Associates, Inc. Daniel Arif Sayid, Jr. Herman Epstein Lawrence Joseph Penna William Michael Cutrone Todd Owen Wagner Mark S. Blonder Douglas J. Mangan Vincent Grieco Wexford Clearing Services Corporation REPRESENTATION OF PARTIES For Claimant Davi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Wheeler Securities, Inc. Case No. 98-03676 Name of Respondent Robin B. Baldock REPRESENTATION OF PARTIES For Claimant, Wheeler Securities, Inc. ("Wheeler"), hereinafter referred to as "Claimant": Barry S. Wheeler, President, Wheeler Securities, Inc. Respondent Robin B. Baldock ("Baldock"), hereinafter referred to as "Respondent" appeared pro se. CAS

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03223 Deborah Norum, Claimant vs. Bradley E. Dugdale and D.A. Davidson & Co., Respondents. ATTORNEYS: Claimant, Deborah Norum, ("Claimant"), appeared Pro Se, Moscow, ID. Respondents, Bradley E. Dugdale and D.A. Davidson & Co., ("Respondents"), appeared through D.A. Davidson & Co.'s in-house counsel David G. Dennis, Great Falls, MT. DATE FILED: July 24, 2000. CASE SUMMARY: Claimant

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: PaineWebber Incorporated, Claimant vs. Gino Barca, Maria Barca and The Barca Investment Trust, Respondents. Case Number: 98-03665 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimant, PaineWebber Incorporated, hereinafter referred to as "Claimant": William McC. Montgomery, Esq., PaineWebber Incorporated, Los Angeles, California Respondents, Gino Barca, Maria

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jared Schubiner and Sondra Schubiner vs. Jefferson Pilot Securities Corp., Thomas A. Maxey and Consolidated Financial Corp., Respondents. Case Number: 98-3661 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimants, Jared Schubiner and Sondra Schubiner, hereinafter collectively referred to as "Claimants": Andrew Kochanowski, Esq., and David Szymanski , Esq., Sommer

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-03651 Thomas W. Connolly, claimant vs. Lawson Financial Corporation and Robert Lawson, respondents. ATTORNEYS: Claimant, Thomas W. Connolly, appeared Pro Se., Tuscon, AZ. For Respondents, Lawson Financial Corporation and Robert Lawson, appeared Peter J. Anderson, Esq., of the firm Sutherland Asbill & Brennan, LLP, Atlanta, GA. DATE FILED: 10/01/98 CASE

AWARD NASD Regulation, Inc. CASE; 98-03645 J.V. Payton & Ann Payton Trust, claimants vs. E.G. Capital Ltd and Alexander Velez, respondents. ATTORNEYS: Claimant J.V. Payton & Ann Payton Trust appeared through its trustees, Security, CO. For Respondents, E.G. Capital Ltd and Alexander Velez appeared Charles M. O'Rourke, Esq., Garden City, NY. DATE FILED: 10/01/1998 CASE SUMMARY: Claimant alleged respondent engaged in unauthorized stock transaction

Stipulated Award NASD In the Matter ot tne Arbitration between: Name of the Claimant Case Number: 00-03219 Alberto Ojeda Names of the Respondents Hearing Site: Boca Raton, Florida Morgan Stanley Dean Witter Reynolds, Inc Carl John Regan REPRESENTATION OF PARTIES For Alberto Ojeda ("Ojeda"), hereinafter referred to as "Claimant": Morgan W. Bentley, Newark, New Jersey. For Morgan Stanley Dean Witter Reynolds, Inc. ("MSDW") and Carl Regan ("Reg

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Carl M. Treppendahl 98-03632 Names of Respondents L.T. Lawrence & Co., Inc. Joseph Principato Anthony Dangelo REPRESENTATION For Claimant: Lawrence M. Phillips, Esq., New York, New York. For Respondent Joseph Principato ("Principato"): Mark J. Astarita, Esq. of the law firm of Gusrae, Kaplan & Bruno, New York, New York. Respondent L. T. Lawrence