AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant MaxFash, Inc. vs. CASE 98-03101 Name of Respondent Ameritrade, Inc. REPRESENTATION Claimant MaxFash, Inc. ("Claimant") was represented by Maxwell Fashola, President, MaxFash, Inc., Columbia, Maryland. Respondent Ameritrade, Inc. ("Respondent") was represented by James A. Rickets, Vice President, Ameritrade, Inc., Omaha, Nebraska. CASE INFORMATION

Award NASD Regulation, Inc. In the Matter of the Arbitration Between John C. Maxwell, Jr. vs. Case No. 98-03100 Name of Respondents Wheat First Securities, Inc. Wheat First Butcher Singer, Inc. REPRESENTATION OF PARTIES Claimant, John C. Maxwell, hereinafter referred to as "Claimant": H.Aubrey Ford, Esq., Cantor, Arkema & Edmonds, Richmond, Virginia Respondents, Wheat First Securities, Inc. and Wheat First Butcher Singer, Inc., hereinafter

Award NASD Regulation, Inc. In the Matter of ttie Arbitration Between Name of Claimant Jack L. Lucas " NASD Case No. 98-03097 Hearing Site: Raleigh, North Carolina Names of Respondents Interstate/Johnson Lane Corporation and Paul Higgins REPRESENTATION OF PARTIES Claimant, Jack L. Lucas ("Lucas"), hereinafter referred to as "Claimant": J. Scott Sexton, Esq. and Kevin W. Holt, Esq., Gentry Locke Rakes & Moore, Roanoke, Virginia. Respo

NASD REGL'LATION. INC AWARD In the Matter of the Arbitration Between Name of Claimant Shivan V. Mahendrarajah vs. Case Ho. 98-03095 Name of Respondent Charles Schwab & Co., Inc. MjjPRESEiNTATION Claimant Shivan Mahendrarajah ("Claimant") appeared pro se. For Respondent Charles Schwab & Co., Inc. ("Respondent") appeared Sean B. Meehan, Esq. of Charles Schwab & Co., Inc., located in San Francisco, California. CASE INFORMATION Claim

FINAL ORDER NASD Regulation, Inc. U J ^ ^ li W/ f) 1 '-* U In the Matter of the Arbitration Between David Roehm and Sandra Ann Roehm. Claimants. v. No. 98-03089 Alphonse Paulikas, Stephen v urn. Jerry Janz, James Layden, and Paine\Vebber. Inc.. Respondents. REPRESENTATION OF PARTIES Claimants David Roehm and Sandra Ann Roehm ("Claimants") were represented by David White, Esq. of Prospect Heights. Illinois. Respondents

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Gerald Clark and Grace Clark (Claimants) Case Number: 98-03081 Royal Hutton Securities Corporation, Douglas Alfieri, Jerold Carl Judkowitz, Joseph Anthony Cavallo. Foster Jeffries Securities, LLC, Fredrick Jay Hentschel, Steven Lee Kamo, George Michael Greco, Jr. George Michael Greco. Sr, Michael Scott Weiner, Thomas Michael Allegra. Robert Steven T

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Joseph J. Schmelzle vs. Case No. 98-03080 Name of Respondents Buster A. Parker Todd C. Perry Creative Capital Management Corporation REPRESENTATION OF PARTIES Claimant Jospeh J. Schmelzle, hereinafter referred to as "Claimant" appeared pro se. Respondents, Buster Parker ("Parker") and Creative Capital Management Corporation ("CCMC"): Martin J. Siege

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURltlES DEALERS REGULATION. INC. CASE: #98-03078 Maria T. Scarola, claimant vs. Fahnestock & Co. Inc., Richard Danielle and SG Cowen Securities Corp., respondents. ATTORNEYS: Claimant, Maria T. Scarola, appeared Pro Se, Canton, MA. For Respondents, Fahnestock & Co, Inc. ("Fahnestock") and Richard Daniello ("DanieUo"t, appeared, Chief Legal Officer, Eric J. Shames, Esq., New York, NY. For Responden

AWARD NASD Regulation, Inc. CASE: 98 - 03075 Charles Ackerson, claimant vs. Ken Osborne and Kirlin Securities, respondents. ATTORNEYS: Claimant appeared Pro Se. - Venice, CA. For Respondent Kirlin Securities, Inc. appeared Randolph Bartholme - Syosset, NY. Respondent Ken Osborne appeared Pro Se - Orange, CA. DATE FILED: 8/24/98 CASE SUMMARY: Claimant alleged failure to execute in the sale of warrants. Claim Data Award Data Claim: $10,000.00

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Douglas P. Magner and Anne W. Magner, (Claimants) vs. Olde Discount Corporation, Timothy O'Brien, and Raymond Urci, (Respondents) Case Number: 98-03074 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Douglas P. Magner, "D. Magner", and Anne W. Magner, "A. Magner", hereinafter collectively referred to as "Claimants": G. Martin Meyers, Esq., Denville, NJ. Respo