AWARD NASD Regulation, Inc. CASE: 98-03574 Michael Paley, claimant vs. EBI Securities Corporation, respondent. ATTORNEYS: Claimant appeared Pro Se. - Willoughby, OH. For Respondent appeared in-house counsel, Russell K. Bean, Esq. - Englewood, CO. DATE FILED: September 25, 1998 CASE SUMMARY: Claimant alleged that respondent sold him Bonso Electronics International, Inc., warrants without disclosing that these warrants could be called for redemption.

-f AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claim a^a Alice E. Adamson Margaret E. Kirton 98-03563 Nanicsjof Respondents Merrill Lynch, Pierce, Fenner & Smith, Inc. Jerome T. Jordan REPRESENTATION For Claimants: Lange Clark, Esq. of the Law Office of Lange Clark, P.C., Birmingham, Alabama and Archie C. Lamb, Jr., Esq. of the Law Offices of Archie Lamb, LLC, Rirmrngfrgrrtj Alabama- ;. ' . c'. •

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: William E. Johnson & Francine A. Johnson (Claimants) vs. Block Trading Inc., Bill Gooding, John Engel, and Robert Seki (Respondents). Case Number: 98-03557 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES William E. Johnson and Francine A. Johnson, hereinafter collectively referred to as "Claimants' Katherine Hendricks, Esq., Hendricks & Lewis, Seattle, Washington. Will

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Name of Claimant Allan J. Dumer and Name of Respondents John G. Kinnard & Co,, Inc. Larry N. Phillips and Gerald Gifford 98-03554 Hearing Site: Minneapolis, Minnesota REPRESENTATION OF PARTIES Claimant, Allan J. Dufher ("Claimant") was represented by Marcia L. Ford, Esq. and Harvey Eckart, Esq., Reinhardt & Anderson, St. Paul, Minnesota Respondents), John G

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Willard Saperston and Saperston Financial, Inc., (Claimants) vs. National Financial Services Corporation, (Respondent) Case Number: 98-03550 Hearing Site: Buffalo, NY REPRESENTATION OF PARTIES Claimants, Willard Saperston ("Saperston") and Saperston Financial, Inc. ("SFT), hereinafter referred to as "Claimants": Patrick G. Finegan, Jr. Esq., Washington, DC. Respondent, National Fi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mary Leah Weiss (Claimant) vs. GKN Securities, Corp. and Bryan Orjucla, (Respondents). Case Number: 98-03546 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant Mary Leah Weiss, hereinafter referred to as "Claimant": Robert L. Lewis, Esq.. New York. New York, For Respondent GKN Securities, Corp, ("GKN Securities") and Bryan Orjuela ("Orjuela"). hereinafter coll

AWARD NASD Regulation, Inc. CASE: 98-03541 Paul W. Kroczak and Mary M.. Kroczak, claimants vs. Comerica Securities, respondent. ATTORNEYS: Claimants appeared Pro Se, St. Clair Shores, MI. Respondent appeared through its Regional Compliance Manager, Detroit, MI. DATE FILED: September 23, 1998 CASE SUMMARY: Claimants alleged that respondent failed to follow instructions to deliver their stock certificates. Claim Data Award Data Claim: $10,000.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Lynn and Mary Edwards vs. Case No. 98-03528 Name of Respondents RT & A Financial Management, Ltd. Robert Tommassello Robert A. Tommassello Jean Tommassello REPRESENTATION OF PARTIES Claimants, Lynn and Mary Edwards, hereinafter collectively referred to as "Claimants": Richard W. Groner, Esq. and Steele T. Williams, Esq., Groner, Schieb & Wi

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph Becker Case No. 98-03523 Names of Respondents Salomon Smith Barney, Inc. Roger Alan Stock REPRESENTATION OF PARTIES \ For Claimant Joseph Becker, hereinafter referred to as "Claimant": Robert J. Paulson, Jr., Esq., New York, New York. For Respondents Salomon Smith Barney, Inc. ("Smith Barney") and Roger Alan Stock ("Stock"): Victor

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Wedbush Morgan Securities, Inc. and 98-03519 Name of Respondent Gordon S. Spier REPRESENTATION OF PARTIES Wedbush Morgan Securities, Inc. ("Claimant") was represented by Marie E. Eaton, Esq., Wedbush Morgan Securities, Inc., Los Angeles, California. Gordon S. Spier ("Respondent") did not appear at the hearing. CASE INFORMATION The Statement of Claim