Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Susan King, Claimant vs. Bear Stearns & Co., Inc. and James M. Murray, Respondents, Case Number: 98-02573 Hearing Site: San Francisco, CA REPRESENTATION OF PARTIES Claimant, Susan King (hereinafter referred to as "Claimant"): George King, Esq., King, King & Fishleder, Lake Merritt Plaza, Suite 810,1999 Harrison Street, Oakland, CA 94612-3517. Respondent, Bear Stearns & Co., Inc. (here

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Everen Securities, Inc. and 98-02569 Name of Respondent James P. Braseth Name of Third Party Respondent Mark Bongard REPRESENTATION OF PARTIES Everen Securities, Inc. ("Claimant") and Mark Bongard ("Third Party Respondent") were represented by Renan I. Sugarman, Esq., Everen Securities, Inc., Chicago, Illinois. James P. Braseth ("Respondent") was re

AWARD NASD Regulation, Inc. CASE: 98 - 02565 S. Martin Rand, claimant vs. Salomon Smith Barney, respondent. ATTORNEYS: Claimant appeared Pro Se. - Laguna Niguel, CA. For Respondent appeared Ann Parry, Esq. New York, NY. DATE FILED: 7/17/98 CASE SUMMARY: Claimant alleged failure to execute sale order of common stock. Claim Data Award Data Claim: $7,880.00 Award: $.00 Filing Fees: $150.00 Filing Fees: $.00 Other: $.00 Other: $.00 AWARD

JUL.13.1999 9:20flM NO.686 P.19 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between f Claimant Nikolas Eastwick-Field 9S-02560 Name$ of Respondents First liberty Investment Group James J. Crimi Anthony Giordano REPRESENTATION ForClaimant: JohnM. Cone, Esq. of Akin, Gump, Strauss, Hauer & Feld, L.L.P., Dallas, TX. For Respondent First Liberty Investment Group ("First Uberty 11 ): Bradford M. Gucciardo, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Roger A."and Nancy S. Ruppert, Claimants v. Ameritrade, Inc., Respondent Case Number: 00-03142 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimants: Roger A. Ruppert and Nancy S. Ruppert In Pro Per Las Vegas For Respondent: James J. Vihstadt, Esq. Ameritrade, Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim filed: July 25,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gertrude Gallagher, (Claimant) vs. Mary Gallagher, John C. Gallagher, Jr., Hampshire Securities Corp., and Gruntal & Co. (Respondents). Case Number: 98-02548 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Gertrude Gallagher "Claimant": Frank J. Evangelist, Esq., Ormsten & Evangelist, Jericho, New York. Respondent Mary Gallagher ("M. Gallagher"): James P. Donoh

AWARD NASD Regulation, Inc. CASE: 98-02546 Jack B Keil, claimant vs. Centex Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Boca Raton, Florida. Respondent appeared through its representative, Bruce A. Biddick, La Jolla, California. DATE FILED: July 14, 1998 CASE SUMMARY: Claimant alleged fraud and claimed that respondent persuaded him to invest in 500 shares of Clinical Aesthetics Center. Claimant further alleged that respondent

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Norton Herrick Case No. 98-02541 Names of Respondents The Boston Group Robert Anthony DiMinico REPRESENTATION OF PARTIES For Norton Herrick ("Herrick"), hereinafter referred to as "Claimant": David S. Richan, Esq. of the law firm of Tenzer Greenblatt, LLP, New York, NY. For Robert DiMinico ("DiMinico") and The Boston Group ("Boston"), hereina

y I NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Andrew Mack and Case Number 98-02539 Name of Respondent Edward D. Jones & Co. REPRESENTATION OF PARTIES Andrew Mack (hereafter referred to as "Claimant") appeared pro se. Edward D. Jones & Co. (hereafter referred to as "Respondent") was represented by Louis R. Branz, Esq. of Edward D. Jones & Co., located in St. Louis, Missouri. CASE INFORMATION

AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimant(s) Darlene C. Bowden, M.B.A. Arbitration No. 98-02530 Name of Respondent{si American Express Financial Advisors Inc. REPRESENTATION For Claimant: Darlene C. Bowden, Oakland, California For Respondent: John M. Skonberg, Esq., Littler Mendelson, San Francisco, California CASE INFORMATION Statement of Claim filed: August 4, 1998 Claimant's Post-