11:56AN CORPRATE COUNSEL Stipulation and Award To Expunge NASD Regulation, Inc. la flie Matter of foe Arbitration Between: MORUEE PROSPECT, INC. Ctenant And 98-03407 CHARGES SCHWAB & OX DAVE* HAULER, and STEVEN GOMER Respondents For Claimant 'For Respondents REPRESENTATION OF PARTIES JuHeYu Authorized Agent for Morlee Piospectj inc. 620 American Avenue, Suite DTS Kjflg of Prussia PA 19406 Albert MZ

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-03405 Timothy Simon, claimant vs. Apex Securities, Inc., respondent. ATTORNEYS: Claimant Timothy Simon appeared Pro Se. t Miami, Florida For Respondent Apex Securities, Inc., appeared in-house counsel, Desrye M. Morgan, Esq., Houston, Texas, DATE FILED: 9/16/1998 CASE SUMMARY: Claimant alleged that he had accumulated seven weeks of paid vacation

AWARD NASD Regulation, Inc. CASE: 98-03403 Raymond P. Mullaney and Frances S. Mullaney, claimants vs. Dreyfus Investment Services Corporation , respondent. ATTORNEYS; Claimant appeared Pro Se, Pittsburgh, PA. For Respondent appeared its Compliance Manager, Jerry Coughlan, Pittsburgh, PA. DATE FILED: September 16, 1998 CASE SUMMARY: Claimants alleged that respondents quoted the wrong price for their ATEC warrants and that weeks after they exercis

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Jason D, Bell (Claimant) vs. William Blair & Co., (Respondent). Case Number: 98-03401 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Jason D. Bell ("Bell"): appeared pro se. Respondent William Blair & Co.: Natalie Spears, Esq., Sonnenschein, Nath & Rosenthal: Chicago, Illinois. CASE INFORMATION Statement of Claim filed on or about: September 17, 1998 Cl

NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Kenneth W. Costa, Anita Costa, Robert J. Halloran, Individually and as Trustee of the Robert J. and Eleanor B. Halloran Trust Case No. 98-03395 and Eleanor 6. Halloran, Individually and as Trustee of the Robert J- and Eleanor B. Halloran Trust Names of Respondents Aragon Financial Services, Inc. Lewis Manning McConnell Douglas Lyman Lish Georgina L. Smi

NASD Dispute Resolution , Inc. In the Matter of the Arbitration Between: Naveed Mahfouz vs. Klein Maus & Shire and Syed Naqvi Case Number: 98-3377 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, Naveed Mahfouz ("Mahfouz"), hereinafter referred to as "Claimant": Anthony V. Trogan , Esq., Weisman, Trogan, Young & Schloss, Bingham Farms, Michigan. Respondent, Klein Maus & Shire ("KMS"), hereinafter referred to as "Respondent KMS": Moham

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Bill Willens v. Name of Respondent Kennedy Cabot & Co. Arbitration No. 98-03376 REPRESENTATION For Claimant: For Respondent: Bill Willens In Pro Per West Hills, California John J. Erickson, Jr., Esq. Jones, Bell, Abbott, Fleming & Fitzgerald Los Angeles, California CASE INFORMATION Statement of Claim filed: Claima

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-03375 GKN Securities, Inc., claimant vs. David Chernov, respondent. ATTORNEYS: For Claimant GKN Securities, Inc., Katherine Nathan, Esq., Director of Litigation of GKN Securities, Inc., New York, New York. Respondent David Chernov did not respond to the Statement of Claim. DATE FILED: 9/16/1998 CASE SUMMARY: Claimant alleged Respondent entered into financi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Pyramid Financial Corporation, (Claimant) vs. The Island ECN, Inc. and Heartland Securities Corporation, (Respondents) vs. All-Tech Direct, Inc. (Third-Party Respondent) Case Number: 00-03196 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Pyramid Financial Corporation, hereinafter referred to as "Claimant": David Godinez and David Falk, Compliance, Pyrami

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: GKN Securities Corp., (Claimant) vs. Kenneth Rosenberg, (Respondent) Case Number: 98-03372 Hearing Site: New York. New York REPRESENTATION OF PARTIES Claimant, GKN Securities Corp., hereinafter referred to as "Claimant": Kenneth Q'Conner. Esq.. Lubiner & Schmidt, Kenilworth, NJ. Previously represented by: Katherine Nathan, Esq.. Director of Litigation, GKN Securities Corp., New York.