N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01943 Robert L McAndrew and Judith P. McAndrew, claimants vs. Kemper Distributors, Inc., respondent. ATTORNEYS: For claimants appeared Judith P. McAndrew - South Windsor, CT. For respondent appeared Diane E. Ratekin, Esq., - Chicago, IL. DATE FILED: 5/27/98 CASE SUMMARY: Claimant alleged lost check, failure to inform client for 5 years and 8 months that they still had their money, and failure to compensate

AWARD NASD Regulation, Inc. ' r: In the Matter of the Arbitration Between . . - Name of Claimant Joan Hanson ,..,^. r > " """ and 98-01940 Name of Respondents Access Financial Group, Inc. Carmen Milagros Glikberg REPRESENTATION OF PARTIES Joan Hanson ("Claimant") appeared pro se. Access Financial Group, Inc. ("Respondent Access") and Carmen Milagros Glikberg ("Respondent Glikberg") were represented by John I McDonald, Jr., Meaghe

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Gordon E. Walter Claimant, and No. 98-01934 Sauceda & Granville Securities, Inc. John Cella, George Stambouli, Benito Sauceda, III, Ray Daniels Respondents. REPRESENTATION OF PARTIES Claimant, Gordon E. Walter, ("Claimant"), was represented by Martin T. Fletcher, Esquire located in Indianapolis, IN. Respondent, Sauceda & Granville Securities, Inc., ("Respondent company"

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Vasken Imasdounian, Claimant v. Charles Schwab & Company, Inc., Respondent. Case Number: 98-01925 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES Claimant, Vasken Imasdounian, referred to as "Claimant": Mark Von Esch, Esq., Von Esch & Dickson, Fullerton, California. Respondent, Charles Schwab & Company, Inc., collectively referred to as "Respondent": Amir Tadjedin,

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: N. Frank Orovitz, Tsipora S. Orovitz, Joav Orovitz and Frizell Properties, Ltd. (Claimants), vs. Del Mar Financial Services, Inc., Kevin C. Dills, Brad Serna, Jai Chaudury, and Arthur N. Berry, (Respondents). Case Number: 98-01921 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES For Claimants N. Frank Orovitz ("F. Orovitz"), Tsipora S. Orovitz ( L 'T. Orovitz"), J

Stipulated Award And Order of Expungement NASD Regulation, Inc. Case Number: In the Matter of the Arbitration Between: David Dantes v. Charles Schwab & Co., Inc. and Ron Logan 98-01917 For Claimant: For Respondents: REPRESENTATION OF PARTIES Bruce R. Safran, Esq. Safran & Godino 5195 Lindley Avenue Tarzana,CA 91356 Gregory M. Scanlon, Esq. Charles Schwab & Co,, Inc. 101 Montgomery Street San Francisco, CA 94123 CA

Z9.1999-- 5:20PM MO.319 'p.34 AWARD NASD Regulation, Inc. NASD CASE NO. 98-01912 In the Matter of the Arbitration Between Paul B. Woodson Names of Respondents Michael Michelson, John I. Kiley, Howard Davis and Kensington Securities, Inc. REPRESENTATION Claimant Paul B. Woodson appeared pro sc. Respondent John J. Kiley ("Kiley") appeared pro se. Respondent Howard Davis ("Davis") appeared pro se. For Respondent Kensington Securitie

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01907 Thomas Focone, claimant vs. Momentum Administrative Service Division The Equitable Life Assurance Society, respondent. ATTORNEYS: Claimant appeared Pro Se. - Plainview, NY. For respondent Donald Kaplan appeared - New York, NY. DATE PIT.HP: 5/26/98 CASE SUMMARY: Claimant alleged failure to promptly transfer monies. Claim Data Award Data Claim: $540,00 Award: $.00 Interest: $200.00 Interest: $.0

AWARD NASD Regulation, Inc. CASE: 98-01905 Impact Environmental Consulting, Inc., claimant vs. Kevin Rerko and A.G. Edwards & Sons, Inc., respondents. ATTORNEYS: Claimant by its President/Secretary Richard Parrish appeared Pro Se, Kings Park, NY, For Respondents appeared in-house counsel, Clay L. Grumke, Esq., St. Louis, MO. DATE FILED: May 26, 1998 CASE SUMMARY: Claimant alleged that respondents sold the Dime Bank Corp., Inc. stock without auth

Stipulated Award NASD Dispute Resolution In the Matter of the Arbitration Between: Frederick Braun, Janet Braun, Rick Braun, and Virginia Braun, Claimants v. RBC Dain Rauscher, Inc., Wayne A. Josephson, Nelson D. Givello, and Linda Lee Henderson, Respondents Case Number: 00-03058 Hearing Site: Seattle, Washington Nature of the Dispute: Customers v. Member and Associated Persons REPRESENTATION OF PARTIES For Claimants: Christopher H. Howard, Esq. Hol