Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cheri Ann Combs, (Claimant) vs. Elliott Raymond Lewis, Nathan & Lewis Securities, Inc., 1-800 Day Trade, Inc., Duewayne Handley Holley, Day Trade Inc., Superior Financial Group, Inc. (Respondents). Case Number: 98-03507 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Cheri Ann Combs ("Claimant"): David Dyer Esq., Secore & Waller, L.L.P., Dallas, Texas. Responde

Award NASD Regulation, Inc. In the Matter of the Arbitration Between GKN Securities Corp. (Claimant) vs. Steven Jaross (Respondent) Case No.98-03503 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp. ("Claimant"): Michael S. Columbo, GKN Securities Corp, New York, New York Respondent, Steven Jaross ("Respondent") did not have representation. CASE INFORMATION Statement of Claim filed on or about: September 2

Awara NASD Regulation, Inc. In the Matter of the Arbitration Between Name nf Claimant Donald H. Foster Case No. 98-02668 Names of Respondents W.J.GaUagher & Co., Inc. Robert W. Kendrick Richard Allen Frueh Donald James Gunn, Jr. Gary Haskell Kimball Jauan Jo Kimball John Fitzgerald Caveny Ralph "Chip" Johnson Sione Tangen Tuscany Equity Management Corp., " ^ a/k/a Sovereign Equity Management Corp. REPRESENTATION O

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Michael Khounani and Malihe Khounani, Claimants vs. TD Waterhouse Investor Services, Inc. Respondent. Case Number: 00-03154 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Michael Khounani and Malihe Khounani, hereinafter referred to as "Claimants": Arthur S, Leider, Investors Arbitration Specialists, Inc., San Diego, California Respondent, TD

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John J. Macionis, Claimant v. Foster Jeffries Securities LLC, Robert S. Thomas, Francis J. Striano, Paul R. Schafranick, Aleksandr Schvarts and Fiserv Correspondent Services Inc., Respondents Case Number: 98-02667 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, John J. Macionis ("Macionis"), hereinafter referred to as "Claimant": Alexis H. Shapiro, Esq., Satterlee Steph

AWARD NASP REGULATION, INC. In the matter of the Arbitration Between Name of Claimant PaineWebber, Incorporated v. Name of Respondent Jinnee Jordan Kim Arbitration No. 98-02657 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Kathryn L. Krebs, Esq. PaineWebber, Incorporated Los Angeles, California Did Not Appear CASE INFORMATION Claimant's Submission Agreement signed: July 22, 1998

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Agatha Diglio, (Claimant) vs. Cesare lori, IAR Securities, --and Parker Bromley, Ltd., (Respondents) Case Number: 98-02654 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Agatha Diglio ("Diglio"), hereinafter referred to as "Claimant": Norman B. Araoff, Esq., Capuder & Arnoff, P.C., New York, NY. Respondent, IAR Securities ("IAR"): Ruthann G. Niosi, Esq., Law

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-02644 Peggy Berry, claimant vs. Rick Lubinsky and Securities America, Inc., respondents. ATTORNEYS: Claimant Peggy Berry appeared Pro Se., Margate, Florida. Respondent Rick Lubinsky did not respond to the Statement of Claim. For Respondent Securities America. Inc., appeared in-house counsel, David O. Spinar, Esq., Omaha, Nebraska. DATE FILED: 7/23/1998

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Lloyd Doubleday, Jr. and Patricia J. Doubleday, Individually and as Trustees of The Lloyd and Patricia Doubleday Revocable Living Trust Randall R. Berkihiser and Kimberly Berkihiser, Individually and Randall R. Berkihiser as Trustee of the Berkihiser Family Trust George A. Engblom and Eileen S. Engblom, Individually and as Trustees of the George A. and Eileen

AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant Hira Patel v. 98-02641 Name of Respondents HGI, Incorporated, and Thomas Fede REPRESENTATION For Claimant: Adam Silverstein, Esq., New York, New York. For Respondents: Thomas Fede, Huntington, New York, in pro per, HGI, Inc. - No declared appearance. (The panel however ruled that jurisdiction had properly been obtained over HGI, by service of proces