AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimantfs) OLDE Discount Corporation Arbitration No. 98-02092 Name of Respondentfs) Debra Corwin REPRESENTATION For Claimant: Michael P. Knittel, Esq., OLDE Discount Corporation, Detroit, Michigan For Respondent: Debra Corwin, Ravensdale, Washington CASE INFORMATION Statement of Claim filed: May 29, 1998 Claimant's Submission Agreement signed: May 21

AWARD NASD Regulation, Inc. 98-02090 In the Matter of the Arbitration Between Name of Claimant Estate of Faye M. Lacy Name of Respondents Ferris, Baker Watts, Inc. James Michael Winner REPRESENTATION For Claimant Donna Wulkan, conservator, for the Estate of Faye M. Lacy ("Claimant"):Will S. Montgomery, Esq. and Timothy J. Goodwin, Esq. of the law firm of Jenkens & Gilchrist, Dallas, TX. For Respondents Ferris, Baker Watts, Inc. ("FBW

-DEIC.2g.1998 1 2 : 3 1PM NftSD REGULATION FL HO.186 P. 22 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between f Climant Olde Discount Corporation 98-02088 Leola D.Allen RttnOCSENTATHW For Claimant Michael Knitel, Esq., Customer Service Attorney, Olde iMsoount Corporation ("Olde"). For Respondent: Earl L. Allen, Respondent's son. TASK Statement of Claim filed: June 8, 1998. Claimant's Submissi

AWARD NASD Regulation, inc. CASE: 98-02080 David M. Neyer, claimant vs. JPR Capital, respondent. ATTORNEYS: Claimant appeared Pro Se. - Appletoo, WI. For respondent appeared Paul J. Umansky - Roslyn, NY. DATE FILED: 6/5/98 CASE SUMMARY: Claimant alleged failure to pay entire amount owed and including interest in employment agreement. Claim Data Award Data Claim: $5,386.57 Award: $5,386.57 Filing Fees: $575.00 Filing Fees: $575,00 Oth

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Louise Pepe, (Claimant) vs. Oppenheimer & Co., Inc. and Richard Fee, (Respondents) Case Number: 98-02075 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant Louise Pepe, hereinafter referred to as "Claimant": Eric D. Grayson, Esq., Greenwich, CT. Respondent Oppenheimer & Co., Inc. ("Oppenheimer"): Joseph J. Sullivan, III, Esq., Oppenheimer & Co., Inc., New York, NY.

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03084 Donald A. Richardson, Claimant vs. Ameritrade, Inc, Respondent. ATTORNEYS: Claimant, Donald A. Richardson, ("Claimant"), appeared pro se, Southbury,CT. Respondent Ameritrade, Inc., ("Respondent"), appeared through its in-house counsel, Andrew J. Harger, Esq. Bellevue, NE. DATE FILED: July 20, 2000 CASE SUMMARY: Claimant alleged that Respondent failed to correctly execute an o

NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the matter of the Arbitration between ABE CORPORATION, ALAN SCOTT ABRAMS.etaU Claimants, -against- D.H. BLAIR & OX INC., et al., Respondents. NASD Case No. 98*2067 STIPULATED AWARD REPRESENTATION The claimants were represented by Mark Maddox, Esq. of the law firm of Maddox, Koelter, Hargett & Caruso, located in Indianapolis, Indiana. Respondents* D. H. Blair & Co., Inc., Howard

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Raymond James & Associates, Inc. and 98-02066 Name of Respondent Mark W. Thompson REPRESENTATION OF PARTIES Raymond James & Associates, Inc. ("Claimant") was represented by Joseph A. Vallo, Esq., Joseph A. Vallo, P.A., New York, New York. Mark W. Thompson ("Respondent") was represented by Charles F. Brega, Esq., Brega & Winters, P.C., Denver, Colorado.

t * Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Melissa R. Freiberg, an individual, Eric H. Schwartz, an individual, and William A. Hankerson, trustee of the Philip Freiberg Trusts and the Marion Freiberg Trusts , Claimants vs. Dean Witter Reynolds INC, and Daniel Luczynski, Respondents. Case Number: 98-02065 Hearing Site: Phoenix, Arizona REPRESENTATION OF PARTIES Claimants, Melissa R. Freiberg, an individual, Eric H. Schw

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Lois R. McCann 98-02062 Names of Respondents Howard C. Rapp Dominion Capital Corporation Douglas W. Powell Charles Dewey Elliott, III REPRESENTATION For Claimant: David L. McGee, Esq. of the law firm of Beggs & Lane, Pensacola, Florida. For Respondents Dominion Capital Corporation ("Dominion"), Douglas W. Powell ("Powell* 1 ) and Charles