Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant June E. Dreger, Individually and as Trustee of the June E. Dreger Revocable Living Trust, u/a/d 9/12/91 Case No. 98-03448 Names of Respondents Dugan, Goodman & Olson Charles Olson First Associated Securities Group, Inc. Howard Mark Goodman Jay Michael Dugan Anthony Paul Martellaro Ted Joseph Bryson REPRESENTATION OF PARTIES June E. Drege

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc. (Claimant) vs. Gregory S. Crowley, (Respondent). Case Number: 98-03443 Hearing She: Dallas, Texas REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc. ('"Claimant"): Brad Busscher, Esq., Everen Securities, Inc., Chicago, IL 60601. Respondent, Gregory S. Crowley ("Respondent"): represented himself. CASE INFORMATION Statement of Claim filed on or a

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc., Claimant v. Richard Allan Russian, Respondent. Case Number: 98-03435 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Ronald P. Kane, Esq. Diane C. Fischer, Esq. Gomberg, Kane & Fischer Chicago, Illinois For Respondent: J.J. Little, Esq. JJ. Little & Associates Marina del Rey, California CASE INFORMATION State

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Everen Securities, Inc., (Claimant) vs. Richard S. Madden, (Respondent). Case Number: 98-03433 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Everen Securities, Inc., hereinafter referred to as "Claimant": Ron Kane, Esq. and Diane C. Fischer, Esq., Gomberg, Kane & Fischer, Chicago, Illinois. Respondent, Richard Madden, hereinafter referred to as "Respondent": pro se,

AWARD NASD Regulation, Inc. CASE: 98-03418 Everen Securities, Inc., claimant vs. Mark L. Ne x v, respondent. ATTORNEYS: Claimant Everen Securities, Inc., appeared Diane C. Fischer, Esq., from the firm Gomberg, Kane & Fischer, Ltd., Chicago, IL Respondent Mark L New, appeared Pro Se, Scottsdale, AZ DATE FILED: 9/17/1998 CASE SUMMARY: Claimant alleged that respondent failed to honor the balance due on the Promissory Note. Claim Data Aw

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gruntal & Co., L.L.C., (Claimant) vs. Daniel E. Walsh, (Respondent) Case Number: 98-03412 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Gruntal & Co., L.L.C., hereinafter referred to as "Claimant": David W. Schmidt, Jr., Esq., Lubiner & Schmidt, New York, NY. Respondent, Daniel E. Walsh, hereinafter referred to as "Respondent": Roger J. Schwarz, Esq., New York, NY

Award NASD Regulation, Inc. In the Matter of the Arbitration Between; Norma Panetta, (Claimant) vs. Martin Walcoe and David Lerner Associates (Respondents) Case Number: 98-03411 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Norma Panetta, hereinafter referred to as "Claimant" appeared pro se. Respondents, Martin Walcoe ("Walcoe") and David Lerner Associates ("DLA"), hereinafter collectively referred to as "Respondents": Ruthann G. Niosi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothy S. Moss, (Claimant) vs. Prudential Securities Inc., and Peter L. Schaeffer (Respondents) Case Number: 00-03197 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Dorothy S. Moss, hereinafter referred to as "Claimant": Deirdre S. Venables, Esq., a sole practitioner, Southampton, NY. Respondents Prudential Securities Inc. ("Prudential") and Peter L.

Award NASD Dispute Resolution In the Matter of the Arbitration Between; Frank Davidenko (Claimant) v. A.S. Goldmen & Company, Todd Levy, Chris Janish, Anthony John Marciano, Stuart Winkler, and Stacey Meyers (Respondents) Case Number: 98-03409 Hearing Site: New York, New York Nature of the Dispute: Customer vs. Member and Associated Person REPRESENTATION OF PARTIES Claimant Frank Davidenko ("Davidenko") hereinafter referred to as "Claimant": Erwin C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Dorothy Klein, (Claimant) vs. Prime Charter, Ltd. and Robert Leff, (Respondents) Case Number: 98-03408 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Dorothy Klein, hereinafter referred to as "Claimant": Jeffrey D. Powell, Esq., Bracken & Margolin, LLP, Islandia, NY. Respondent Prime Charter, Ltd. ("Prime"): Neil S. Baritz, Esq., Dreier & Baritz, Boca