Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Geraldine A. Neuwirth, Claimant v. Dabney/Resnick/Imperial, LLC and Lisa Detanna, Respondents Case Number: 00-00339 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jack Smart, Esq. MacAuley & Smart Laguna Hills, California For Respondents Dabney/Resnick/Imperial, LLC and Robert H. Logan, Esq. and Lisa Detanna Jennifer H. Hong, Esq.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Marhold Inc. and QDTL Corp., (Claimants) vs. Christian Rescate, William Scott & Co., Gary Mosier, and Thomas Turnure, (Respondents) Case Number: 98-02284 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Marhold Inc. ("Marhold") and QDTL Corp. ("QDTL"), hereinafter collectively referred to as "Claimants": Faye Breuer, Corporate Secretary, Marhold Inc. and Q

AWARD NASD Regulation, Inc. CASE: 98-02282 Wedbush Morgan Securities, Inc., claimant vs. Harold T. High, respondent. ATTORNEYS: For claimant appeared Marie Eaton - Los Angeles, CA. | Respondent did not appear. DATE FILED: 6/24/98 CASE SUMMARY: Claimant alleged breach of promissory note. Claim Data Award Data Claim: $9,958.57 Award: $9,958.57 Interest: Requested Interest: 8% from 9/1/97 Filing Fees: $575.00 Filing Fees: $575.00 Other

AWARD NASD Regulation, Inc. CASE: 98-02280 People's Securities, Inc., claimant vs. Herman Pelkey, respondent. ATTORNEYS: For claimant appeared Margaret A. Little, Esq., - Stratford, CT. Respondent did not appear. DATE FILED: 6/24/98 CASE SUMMARY: Claimant alleged respondent wrongfully retained stock certificates and sold them to purchar? other stock. Claim Data Award Data Claim: $.9,420.00 Award: $9,420.00 Interest: $.00 Interest: 10% pe

AWARD NASD Regulation, Inc. CASE: 98-02279 John B. Dunphy, claimant vs. American Express Financial Direct, respondent. ATTORNEYS; Claimant appeared Pro Se. - Northampton, MA. For respondent appeared Faye Atwood - Minneapolis, MN. DATE FILED: 6/24/98 CASE SUMMARY; Claimant alleged respondent closed account for no reason and without prior notice. Claim Data Award Data Claim including Punitive: $10,000.00 Award: $1,435.00 Punitive: $2,870.0

NASD Ri:-Xil."L\ iioS. INC. In the Matter of the Arbitration Between Name of Claimant Ken M. Mandelbaum 98-02273 Name of Respondents Global Equities Group, Inc. Michael Kriste Quentin Quintana Wayne Wicker REPRESENTATION Claimant Ken M. Mandelbaum ("Claimant") appeared pro se. Respondent Global Equities Group, Inc. ("Global Equities") did not enter an appearance in this matter. Respondent Michael Kriste {"Kriste") did not enter a

AWARD NASD Regulation, Inc. CASE: 98-02271 Robert & Yudith Baron, claimant vs. Kenneth F. Casey and Seaboard Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se. - Forest Hills, NY. Respondent Kenneth Casey appeared Pro Se. - Islandia, NY. For respondent Seaboard Securities, Inc. appeared Anthony DiGiovanni - Florham Park, NJ. DATE FILED: 6/23/98 CASE SUMMARY: Claimant alleged that respondent sold her Medaphis Corp. (MEDA) stock

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Gene & Betty Sherman and 98-02269 Minneapolis, Minnesota Name of Respondents LaJolIa Capital Corporation Andrew Moses Caban Ed Stock Mitch Levy Harold Gallison, Jr. Harold Gallison, Sr. International Bond and Share REPRESENTATION OF Gene & Betty Sherman ("Claimants") were represented by Hugh M. Field, Esq., Beecher, Field, W

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Mike Piotruszewicz, (Claimant) vs. Olde Discount Corporation, Randall Sorenson, Regina Fox and Cohen Reagan (Respondents). Case Number: 98-02268 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Mike Piotruszewicz, hereinafter referred to as "Claimant": Neil Giles, Esq. and John O'Neill, Esq., Clements, O'Neill, Pierce & Nickens, Houston, Texas. Respondent, Olde Dis

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Pamela B. Posey 98-02267 Names of Respondents Sterne, Agee & Leach, Inc. Bradford O. Sipes REPRESENTATION For Claimant: Al Shiyou, Esq. and Lisa Sellers Nored, Esq. of the Shiyou Law Firm, Hattiesburg, Mississippi. For Respondents: Charles H. Catlett, Compliance Director, Sterne, Agee & Leach, Inc. CASE INFORMATION Statement of Claim filed: June