AWARD NASD Regulation, Inc. CASE: 98 - 02434 Parker Chaudron, claimant vs. Securities America, Inc. and National Financial Services Corp., respondents. ATTORNEYS: Claimant appeared Pro Se. - Pensacole, FL. For Respondent Securities America, Inc. appeared David Spinar, Esq. - Omaha, NE. For Respondent National Financial Services Corporation appeared Susan Shields, Esq. - Boston, MA, DATE FILED: 7/7/98 CASE SUMMARY: Claimant alleged unfair wit

AWARD NASD Regulation, Inc. CASE: 98-02432 Field Logan & Co., LLC, claimant vs. Mark Terence Wilson, respondent ATTORNEYS: Claimant Field Logan & Co., LLC appeared Giandomenico (John) Rende, Corte Madera, CA For resporient Mark Terence Wilson appeared counsel Steven L. Miller, Esq., Encino, CA DATE FILED: 07/07/1998 CASE SUMMARY: Claimant alleged that respondent Mark Terence Wilson breached an employment contract- Claim Data Claim: $425.00

AWARD NASD Regulation, Inc. CASE: 98-02426 Bobby Khalili. claimant vs. J.B, Oxford & Company, respondent. ATTORNEYS: Claimant appeared Pro Se. - Los Angeies, CA. For respondent appeared Scott G. Monson - Beverly Hills, CA. DATL FILED: 7/7/98 CASE SUMMARY: Claimant alleged negligence, breach of fiduciary duty, unauthorized trading and failure to notify. Claim Data Award Data Claim: $10,000.00 Award: $.00 Other: $.00 Other: $.00 AWARD

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Robert J. Dwyer, Sr. vs. Case No. 98-02414 Name of Respondent Schonfeld Securities, LLC REPRESENTATION Claimant Robert J. Dwyer ("Claimant") appeared pro se. For Respondent Schonfeld Securities, LLC ("Schonfeld") appeared Martin P. Russo, Esq. of MPR Law Practice, P.C. located in New York, New York. CASE INFORMATION Claimant's Statement of Claim

CORRECTED AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimantfs) E*Trade Securities, Inc. Arbitration No. 98-02410 Name of Respondentfs) Mattie Strauch REPRESENTATION For Claimant: John M. McCoy, III, Esq., Bird, Marella, Boxer, Wolpert & Matz, Los Angeles, California For Respondent: Mattie Strauch, Clearlake Oaks, California CASE INFORMATION Statement of Claim filed: June 30, 1998 Claimant's

AWARD NASD Regulation, Inc. CASE: 98-03238 Jerry G. Peck, claimant vs. Michael Bamgartner and WMA Securities, Inc., respondents. ATTORNEYS: Claimant Jerry G. Peck appeared Pro Se., Salt Lake City, UT For respondents Michael Bamgartner and WMA Securities, Inc., appeared Allegra J. Lawrence, Esq,, of the firm Sutherland, Asbill & Brennan, LLP, Atlanta, GA DATE FILED: 9/03/1998 CASE SUMMARY: Claimant alleged the respondent Michael Bamgartner's represen

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-03233 Michael R. Evans, claimant vs. Invesco Funds Group, Inc., Dynamics Fund, respondent. ATTORNEYS: Claimant Michael R. Evans, Esq., appeared Pro Se. s Allentown, Pennsylvania. For Respondent Invesco Funds Group, Inc., Dynamics Fund, Glen A. Payne, Esq., Denver, Colorado. DATE FILED: 9/3/1998 CASE SUMMARY: Claimant alleged that his purchase of sh

APR-B1-33 12=26 FROM=NftSD REGULATION INC. ID PAGE 2X7 AWARD NASD REGULATION. INC.. OFFICE Of DISPUTE RESOLUTION In the Matter of the Arbitration Between EARL R. JONES and SONDRA L. JONES, TRUSTEES OF THE EARL AND SONDRA JONES TRUST DATED 2/3/95, Claimants, vs. Arbitration No. 98-3225 JEFFERY LOGSDON, WILLIAM PORTER, GREGORY SIMMONS, ARNOLD OWEN, ROBERT LONDON, ERIKKROGIUS, ED HALL, DAVE WALTERS, S. KENDRICK DUNN

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant West America Investment Group, Inc. and 98-03221 Name of Respondent Richard S. Jones REPRESENTATION OF PARTIES West America Investment Group, Inc. ("Claimant") was represented by Gary R. Blume, Esq., of the Blume Law Firm, P.C., Phoenix, Arizona. Richard S. Jones ("Respondent") appeared on his own behalf. Respondent was represented by Paul A. Conant, Es

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Subhi M. Kalla, individually and as trustee of the Subhi M. Kalla Family Trust DA DTD 8/29/91, Claimants vs. Prudential Securities, Inc., Dain Rauscher, Inc., and Michael Manfredi, Respondents. Case Number: 98-03212 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES Claimants, Subhi M. Kalla, individually and as trustee of the Subhi M. Kalla Family Trust UA DTD 8/