Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Barbara Murray and Jessie Payer, (Claimants) vs. Investors Associates, Inc., Lawrence Penna, David Murray, and Alan Krichman, (Respondents) Case Number: 98-02719 Hearing Site: Philadelphia, Pennsylvania REPRESENTATION OF PARTIES Claimants, Barbara Murray ("B. Murray") and Jessie Payer ("Payer"), hereinafter collectively referred to as "Claimants": Nicholas J. Guiliano, Esq., D

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-02717 Lincoln Adair, claimant vs. Boston Group, L.P., Angelo Armenia, and Kye Hellmers, respondents. ATTORNEYS: Claimant Lincoln Adair appeared Pro Se., New York, New York, For Respondent The Boston Group, L.P., EricS. Hunter, Esq.,ofTrachtenberg&Rodes, LLP, located in New York, New York. Respondent Angelo Armenia appeared pro se, Monrovia, California.

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 02715 Olde Discount Corporation, claimant vs. Jason Chatman, respondent. ATTORNEYS: For claimant appeared Matthew J. Boitos, Esq., - Detroit, MI. Respondent did not appeared. DATE FILED: 7/28/98 CASE SUMMARY: Claimant alleged attempt to collect debit balance in customer's account. Claim Data Award Data Claim: $2,336.13 Award: $2,336.13 Interest: $213.06 Interest: $213.06 Atty Fees: Requested Atty Fe

AWARD NASD Regulation, Inc. CASE: 98-02714 Fahnestock: & Co., Inc., claimant vs. John D. Conaboy, respondent. ATTORNEYS: For claimant appeared Eric J. Shames, Esq., - New York, NY. Respondent did not appear. DATE FILED:7/28/98 CASE SUMMARY: Claimant alleged respondent failed to repay commissions. Claim Data Award Data Claim: $3,700.00 Award: $2,925.00 Filing Fees: $.00 Filing Fees: $575.00 Other: $.00 Other: $.00 AWARD: The undersign

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert L. Mohler and Shirley M. Mohler and 98-02701 Name of Respondent PCM Securities, Ltd. Paul Tahan REPRESENTATION OF PARTIES Robert L. Mphler and Shirley M. Mohler ("Claimants") were represented by Anthony J. Kohler, Esq., Denver, Colorado. PCM Securities, Ltd. ("Respondent PCM") did not appear or submit responsive pleadings in this matter.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between John K, Harting v. 98-2699 Adam Prabhu, Northeast Securities, Bear Stearns Securities, and George LNU REPRESENTATION OF PARTIES Claimant John K. Harting (Harting) was representedby Patrick Stangl, Esq., of Goaty & Stangl, S.C. of Madison, Wisconsin. Respondent George LNU (LNU) was not represented by counsel. Respondent Adam Prabhu ("Prabhu") was represented by Eric

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Robert Hellmer and Marjorie Hellmer NASD CASE NO. 98-02698 Name of Respondent Leon H. Sullivan, Inc., d/b/a First Liberty Investment Group REPRESENTATION t For Claimants: William M. Rishoi, Esq. and Philip J. Snyderburn, Esq. of Snyderburn, Rishoi & Swann, Winter Park, Florida. For Respondent Leon H. Sullivan, Inc., d/b/a First Liberty Investment

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morton Steinberg Trust of 1992 v. David Bender and Prudential Securities, Inc. Case Number: 00-03157 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: William F. Davis, Esq. Law Offices of William F. Davis Los Angeles, California For Respondents: William M. Cassarini, Esq. Prudential Securities, Inc. New York, New York CASE INFOR

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Samuel Ptasznik, Trustee for Samuel Ptasznik Trust, Claimant v. Salomon Smith Barney, Inc., Respondent. Case Number: 98-02696 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Samuel Ptasznik In Pro Per Los Angeles, California For Respondent: Joanne M. Chormanski, Esq. Salomon Smith Barney, Inc., Office of the General Counsel New York, N

> MflR. 1.1999 5:34PM NO.583 P.16 - . - -AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between - nf Claimant : Carty & Company, Inc. 98-02694 Name of Respondent; Mark Edward Warren REPRESENTATION Fw; Claimant: Shepherd E>. Tate, Esq. of Tatei-'Lazanni &. BealU PLC, Memphis* Tennessee, • . . Jtespondent appeared pro so. • -. , •- '•- • .-••• ,'.,..•..••' • • ' •••' - ... -....,-,!..', ........ '•„. CASE INFORMATION: