NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. x SCARSDALE FABRICS, INC., BURTON N. LICHTEN, and JENNIE RAPHAEL, Claimants, -against- D.H. BLAIR, INC,, J. MORTON DAVIS, KENTON E. WOOD, ALFRED PALAGONIA, GREG BELLOTTI, LOUIS TESORIERO, BARINGTON CAPITAL GROUP, L.P., JAMES A. MITAROTONDA, and JOHN TELFER, Respondents. CASE NO.: 98-02332 STIPULATED AWARD REPRESENTATION The claimants were represented by the Law Offices of Jacob

AWARD NASD Regulation, Inc. CASE: 98-02331 George T. Bloukos and Richard J. Zachar, claimants vs. Paul R. Konsig and The CMS Group, Inc., respondents. ATTORNEYS: Claimants appeared Pro Se - Lake Worth, FL. Respondents appeared through their Executive Vice President, Paul R. Konsig - Boca Raton, FL. DATE FILED: June 26, 1998 CASE SUMMARY: Claimants alleged respondents owed them commissions. Claim Data Award Data Claim: $3,171.16 Award: $1,751

\ RPR. 14. 1999 10= ISflM ' NO. 329 P. 35 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Ten? Lee Parker 96-02325 Charles Schwab & Company, Inc. For Claimant Teny Lee Parker ("Parioer 1 ); Randall W. Henley, Esq. of Randall W. Henley, P.A., West Palm Beach, Florida. For Respondent dark* Schwab & Company, Inc. ('Schwab"): Stephen M. Murphy, Esq. of Cbntes Schwab & Company, Inc, t San Francisco, California, CASE

NASD Regulation, Inc. In the Matter of the Arbitration Between Piper Jaffray, Inc., Claimant, v. No. 98-02322 A.G. Edwards & Sons, Inc., and Kevin J. Cahill, Respondents. REPRESENTATION OF PARTIES Claimant Piper Jaffray, Inc. ("Piper" or "Claimant") was represented by Vincent D. Louwagie, Esq. of Fruth & Anthony, P.A. located in Minneapolis, Minnesota. Respondents A.G. Edwards & Sons, Inc. ("Edwards") and Kevin J. Cahill ("Cahiir) (jointly

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Harold G. Shermer and Darlene F. Shermer, Harold G. Shermer, IRA and 98-02317 Name of Respondents John G. Kinnard and Company, Inc. Thomas Trutnau REPRESENTATION OF PARTIES Harold G. Shermer and Darlene F. Shermer, Harold G. Shermer, IRA ("Claimants") were represented by Leif E. Rasmussen, Esq., Steffens & Rasmussen, Edina, Minnesota. John G. Kinnar

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Southwest Cardiology Associates, PA Integrated PSP & Trust DTD 8/20/81, Dale A. Faulkner, Trustee, (Claimant) vs. Bear Stearns & Company and Christine E. Gibson, (Respondent). Case Number: 98-02316 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Southwest Cardiology Associates, P.A. Integrated PSP & Trust DTD 8/20/81, Dale A. Faulkner, Trustee, hereinafter referre

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Jo Ellen Spitz, individually and as Trustee of the Spitz Family Grantor Trust and 98-02315 Cincinnati, Ohio Name of Respondents HDBrous&Co.,Inc. David Alan Yungkau REPRESENTATION OF PARTIES Jo Ellen Spitz, individually and as Trustee of the Spitz Family Grantor Trust ("Claimants") was represented by Robert A. Klingler, Esq., Robert A. Klingler Co.,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Bhasker and Daksha Thaker vs. CASE 98-02314 Name of Respondent E*Trade SecuritiesThac. REPRESENTATION Claimants Bhasker K. and Daksha B. Thaker ("Claimants") appeared pro se. Respondent E*Trade Securities, Inc, ("Respondent") was represented by Mark Drooks, Esq., Bird, Marella, Boxer & Wolpert, Los Angeles, California. CASE INFORMATION Claimants' S

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03111 Stephen Wagner, Claimant vs. JB Oxford & Company, Respondent. ATTORNEYS: Claimant, Steven Wagner, ("Claimant"), appeared Pro Se., Amagansett, NY. Respondent, JB Oxford & Company, ("Respondent") appeared through its in-house counsel, Scott G. Monson, Esq., Beverly Hills, CA. DATE FILED: July 24, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to timely inform him of

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Charles M. Loeser and Mary R. Loeser, JTWROS, (Claimants) vs., Metropolitan Securities, Inc., Vincent Maresco and Robert Grinberg (Respondents). Case Number.98-02310 Hearing Site: Indianapolis, IN REPRESENTATION OF PARTIES Claimants, Charles and Mary Loeser JTWROS, hereinafter collectively referred to as "Claimants)": Charles Loeser, Esq., South Bend, IN. Respondent, Vincent Mares