Award NASD Regulation. Inc. In the Matter of the Arbitration Between: Joseph S, Reiss, Brenda H. Reiss. and the Joseph S. Reiss MD PC Employee Profit Sharing Plan, (Claimants) vs. Smith Barney. Inc., Salomon Smith Barney Holdings Inc., Newgate Management Associates, and David J. Levenson, (Respondents) Case Number: 98-03073 Hparina Site- New York, New York REPRESENTATION OF PARTIES Claimants, Joseph S. Reiss ("J, Keiss"), Brenda H. Reiss ("8. Reiss")and

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Marta Levi, (Claimant) vs. Chase Investment Services Corporation, (Respondent)) Case Number: 98-03071 Hearine Site: New York, NY REPRESENTATION OF PARTIES Claimant Marta Levi, hereinafter referred to as "Claimant": Albert Adley, Power of Attorney, Marta Levi, Flushing, NY. Respondent Chase Investment Services Corporation, hereinafter referred to as "Respondent": Matthew Plant, Esq

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Fairwinds Trading Corporation, Claimant v. Whale Securities Co. L.P.. and Anthony Shea, Respondents Case Number: 98- 03047 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Pablo Nankin Fairwinds Trading Corp. Beverly Hills, California For Respondents: Whale Securities Co., Inc. and David S. Richan, Esq. Anthony Shea Tanzer Greenblatt, L.L.P.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mary Ann Denham, Claimant v. Texas Capital Securities, W.A. Oil & Gas Loan Trust, Equiserve Limited Partnership (formerly Boston Equiserve), Oxford Financial Group, Jerry Anderson, Kevin Coffey, Donald Tallman and Michael Ernest Watts, Respondents. Case Number: 98-03044 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Mary Ann Denham In Pro Per Las Vegas

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Torrey Pines Securities, Inc., Claimant v. Russell A. Sedat, Respondent Russell A. Sedat, Counter-Claimant v. Torrey Pines Securities, Inc., Counter-Respondent Case Number: 00-03171 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Eileen L. McGeever, Esq. Rushall & McGeever Carlsbad, California For Respondent: H. Thomas Fehn, Esq. Fields,

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant GKN Securities, Inc. vs. Case No. 98-03042 Name of Respondent Hamid Fashandi REPRESENTATION For Claimant GKN Securities, Inc. ("Claimant") appeared David W. Schmidt, Esq., of the firm Lubiner & Schmidt, located in Kenilworth, New Jersey. Respondent Hamid Fashandi ("Respondent") did not enter an appearance in this matter. CASE INFORMATION Claiman

AWARD NASD Regulation, Inc. CASE: 98 - 03033 GKN Securities, claimant vs. Timothy Barker, respondent. ATTORNEYS: For claimant appeared Michael Colombo - New York, NY. Respondent appeared Pro se - Jersey City, NJ. DATE FILED: 8/19/98 CASE SUMMARY: Claimant alleged breach of promissory note. Claim Data Award Data Claim: $5,369.47 Award: $4,571.47 Interest: Requested Interest: 6% from 9/1/98 to Date of payment Atty Fees: Requested Atty

AWARD NASD Regulation, Inc. CASE: 98-03029 GKN Securities Corp., claimant vs. Michelle Seegars, respondent. ATTORNEYS: For claimant GKN securities Corp., appeared in-house counsel Michael Colombo, New York, NY Respondent Michelle Seegars appeared Pro Se, Florham Park, NJ DATE FILED: 08/19/1998 CASE SUMMARY: Claimant alleged that respondent breached the terms of the Promissory Note and Association Agreement. Claim Data Award Data Claim: $

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Kevin C, O 'Connor, (Claimant) vs. Fidelity Brokerage Services, Inc., (Respondent). Case Number: 98-03026 Hearing Site: Columbus. Ohio REPRESENTATION OF PARTIES Claimant, Kevin C O'Connor, hereinafter referred to as "Claimant": represented himself. Respondent(s), Fidelity Brokerage Services, Inc., "Respondent(s)": Richelle S. Kennedy, Esq., Bingham Dana, Boston, Massachusetts. CAS

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Claude H. Elerding, (Claimant) vs. Seaboard Securities and Omar Brown, (Respondents). Case Number: 98-03025 Hearing Site: Seattle, Washington. REPRESENTATION OF PARTIES Claude H. Elerding "Claimant": John A. Bender, Esq., Weiss, Jensen, Ellis & Howard, Seattle, Washington. Seaboard Securities "Seaboard": Jay Israel, Esq., Seaboard Securities, Islandia, New York. Omar Brown "Brown"