Award NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimants Ronald K. Clark v. 98-02450 Name of Respondents E*Trade Securities, Inc. REPRESENTATION OF PARTIES For Claimant, Richard Sacks, Investors Recovery Service, Novato, California. For Respondent, Ekwan E. Rhow, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, California. CASE INFORMATION Claimant filed the Statement of Claim on or about: July 3, 1998

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Anthony J. Morano (Claimant) v. Alden Capital Markets, Inc. (Respondent) Case Number: 98-02448 Hearing Site: New York, New York Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Anthony J. Morano ("Morano") hereinafter referred to as "Claimant": Robert E. Polistena, Esq., Gravante, Gravante & Looby, Brooklyn, NY. Respondent Alden Capital Mar

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Nora Weinerth, (Claimant) vs. David Lemer Associates, Inc., (Respondent) Case Number: 98-02445 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Nora Weinerth ("Weinerth"), hereinafter referred to as "Claimant": Stacey Van Maiden, Esq., Bronx, NY. Respondent, David Lerner Associates, Inc. ("David Lerner*), hereinafter referred to as "Respondent": Ruthann G. Nios

NO.534 P.43 ftUG. 5.1999 9:36fiM AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between i TSanws nf Howard E. Beyer, Robert W. Christy, as Personal Representative of the Estate of Virginia M, Christy, Betty 8. Maaagoff, Dr. Eustace M. Sheppard and Jean Sheppard, Charles Van Fosson and Mabel Van Fosson, and Patrick L. Ward and Marion J. Ward NASD CASE NO. 98-02441 Names of Respondents Sunpoint Securities, Inc., Willi

"JUL. 7.1939 U:24ftM NO.132 P.B AWABD NASD Regulation, Inc. In the Matter of the AibittatiOD Between nf CflTt Michael!. Adams Pamela G. Adams Nanes Rushmore Securities Corp. William Frecerick Pcridns 98-02437 REPRESENTATION ~For Claimants: Allan J. Fedor, Esq. of Fedor & Fedor, Largo, Florida. FOT Respondcm Rushjnote Securities Cqrp. ("Rashmoie')- Robert B. Coosina, Jr., Esq. of Glast, Phillips & Murray, P.C., Dallas, Texas.

AWARD NASD Regulation, Inc. CASE: 98-02435 William A. Lieff, claimant vs. PaineWebber, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Miami, FL. For respondent appeared Stephanie Morse-Shamosh - Weehawken, NJ. DATE FILED: 7/7/98 CASE SUMMARY: Claimant alleged that respondent sold him bonds at a lower price than at the quoted and statement price, and refused to credit claimant's account for the shortage amount. Claim Data Award Data

AWARD NASD Regulation, Inc. CASE: 98-02433 Giselle Dodeles, claimant vs. Smith Barney Inc. and Craig P. Harrigan, respondents. ATTORNEYS: Claimant appeared Pro Se. - Westfield, NJ. For respondents appeared Ann Parry, Esq., - New York, NY. DATE FILED: 7/7/98 CASE SUMMARY: Claimant alleged purchase of stock that was not on Smith Barney's buy list which resulted in loss to claimant. Claim Data Award Data Claim: $2,942.68 Award: $.00 Other

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Estate of Agnes Emerick 98-02428 Name of Respondents Prudential Securities, Inc. Charles M. Funk, Jr. REPRESENTATION For Michell Emerick, Executor of the Estate of Agnes Emerick ("Claimant"), appeared Harris B. Savin, Esq., of Diamond, Polsky & Bauer, located in Philadelphia, Pennsylvania. For Prudential Securities, Inc. ("Prudential") appeared Gerald

AWARD NASD Regulation, Inc. CASE: 98 - 02425 Mario Notarmuzi, claimant vs. Okie Discount Corp. and Carl Robinson, respondents. ATTORNEYS: Claimant appeared Pro Se. - Port St. Lucie, FL. Respondents did not appear. DATE FILED: 7/7/98 CASE SUMMARY: Claimant alleged failure to send conversion information in a timely manner resulting in a loss to claimant. Claim Data Award Data Claim: $2,285.00 Award: $.00 Filing Fees: $.00 Filing Fees; $25.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Donald E. Ellis, Claimant v. Dean Witter Reynolds, Inc. and Stuart M. Godin, Respondents Case Number: 98-02412 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Donald E. Ellis In Pro Per Alta Loma, California For Respondents Dean Witter Reynolds, Inc. Tim A. VerDuin, Esq. and Stuart M. Godin Morgan Stanley Dean Witter San Francisco, Cal