N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-03369 Jane Bakalor Family Revocable Trust & Jane Bakalor, claimants vs. First Union Brokerage Services, Inc., respondent. ATTORNEYS: Claimants Jane Bakalor Family Revocable Trust & Jane Bakalor appeared Pro Se., New Port Richey, FL, For Respondent First Union Brokerage Services, Inc., appeared Brian A. Carlis, Esq., of the firm, Stark & Stark, Princeton, N

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Stephen L. Burton (Claimant) vs. Gaines, Berland, Inc., Todd C. Perry, Joseph Berland, Alan D. Gaines, Buster A. Parker, William J. Davis and Creative Capital Management Corporation, (Respondents.) Case Number: 98-03364 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES Claimant, Stephen L. Burton, hereinafter referred to as "Claimant": Randall R. Heiner, Esq., 213 Eight

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant GunnAllen Financial, Inc. Case No. 98-03363 Names of Respondents John C. Morrison Brian A. Courtney Jerome Walter McClees Kevin Allan Stein Miller, Johnson & Kuehn, Inc. REPRESENTATION OF PARTIES For Claimant GunnAllen Financial, Inc., hereinafter referred to as "Claimant": Robert K. Savage, Esq., In-House Counsel, GunnAllen Financial, Inc., Tam

AWARD NASD Regulation, Inc. CASE: 98-03355 James K Claycomb, claimant vs. George S. Papageorgiou and Vincent E. Salino, respondents. ATTORNEYS: Claimant James F. Claycomb appeared Pro Se., New Paris, PA For Respondent George S. Papageorgiou appeared Norman Arnoff, Esq., of the firm, Capuder & Arnoff, P.C., New York, NY. Respondent Vincent E. Salino did not respond to the Statement of Claim. DATE FILED: 09/14/1998 CASE SUMMARY: Claimant alleged t

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: U (/ "Wtf Q g First Southwest Company vs. Donald and Eleni Currie and Matthew Currie Case Number: 98-3354 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant First Southwest Company, hereinafter referred to as "Claimant": CherylJerome Moore, Esq. and David R. Clouston, Arter & Hadden, LLP, Dallas, Texas. Respondents, Donald and Eleni Currie and Matthew Currio, hereinaft

AWARD NASD Regulation, Inc. CASE: 98 - 03353 Jon Supler, claimant vs. Olde Discount Corp., respondent. ATTORNEYS: Claimant appeared Pro Se. - Raleigh, NC. For Respondent appeared Lisa S. Fildes - Detroit, MI. DATE FILED: 9/14/98 CASE SUMMARY: Claimant alleged improper execution. Claim Data Award Data Claim: $6,000.00 ^Award: $2,000.00 Punitive: $4,000.00 Punitive: $.00 Filing Fees: $.00 Filing Fees: $75.00 Other: $.00 Other: $.00

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Qaimantg Edwin S. and Arlene M. Matbews Cecite Latent Morrow Josephine Angelletta Richard Bates, Individually and with Josephine Angelletta, as Personal Representative for the Estate of Grace Santucci Case No. 98-03348 Names of Respoirients Theodore K. Malkasian Preferred Securities Group, Inc. Edward A. Kwiatkowski REPRESENTATION OF

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Robert W. Burke and Robert Brickner and 98-03347 Indianapolis, Indiana Name of Respondents Royal Palm Investments Ltd. Paul S. Tahan Joseph David Belcastro Robert Edward Mitchell Roland Imre Greenspan REPRESENTATION OF PApTlES Robert W. Burke and Robert Brickner ("Claimant") was represented by Jeffrey V.:Gery#Esq.puri..c ; Maddox, Koeller,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Narendra K. Gupta and Meena Gupta and 98-03346 Name of Respondents Klein Maus & Shire, Inc. Naseer Mahmood REPRESENTATION OF PARTIES Narendra K. Gupta and Meena Gupta ("Claimants") were represented by John J. Hasluck, Esq., Jackson & Nash, LLP, New York, New York. Klein Maus & Shire, Inc. ("Respondent Klein Maus") and Naseer Mahmood ("Respondent Ma

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Susan L. Lasher Case No. 00-03 195 John Bradford Walker First Union Securities, Inc. Hearing Site: Philadelphia, Pennsylvania PARTIS Claimant, Susan L. Lasher, herein^^refe^ ^Biel, Zlotnick & Feinberg, EA. t Atlantic City^MJ.. ;ii v ; - ,, , , : ^'rone^ , John Bradford : W^lke;r (" Walker") and : First Union Securities Cafi