AWARD NASD Regulation, Inc. CASE: 98-01903 John Roth, claimant vs. Duke & Co. and Scott Harris, respondents. ATTORNEYS: Claimant appeared Pro Se. - Davis, CA. For Respondent Scott Harris appeared Lance Croffoot-Suede - New York, NY. Respondent Duke & Co. did not appear. DATE FILED: 5/26/98 CASE SUMMARY: Claimant alleged trading manipulation, unsuitability and sales practice abuse. Claim Data Award Data Claim; $10,000.00 Award: $10,000.00

NASD Regulation, Inc. ARBITRATOR AWARD In the matter of the Arbitration Between Name of Claimant Nicholas Sanford v. 98-01902 Name of Respondents Emmett A. Larkin Company, Inc. and William Blount REPRESENTATION OF PARTIES For Claimant, Nicholas Sanford: Lawrence W. Fasano, Jr., Esq., Cole & Fasano, San Francisco, California. For Emmett A. Larkin & Company: Peter E. Root, Esq., Orrick Herrington & Sutcliffe, San Francisco, California.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Honey Bear Ham Company an Illinois Corporation, and Julie Connell, its sole shareholder, and individually Claimants. v. No. 98-01897 Haskell M. Israel, First Montauk Securities Corp., and Strasbourger Pearson Tulcin Wolff, Inc. Respondents. *. REPRESENTATION OF PARTIES Claimant Honey Bear Ham Company ("Honey Bear") was represented by J.

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Robert Clauss and Marilyn Clauss and Case Number 98-01894 Names of Respondents Everen Securities and Charles Paxton REPRESENTATION OF PARTIES Robert and Marilyn Clauss (hereafter collectively referred to as "Claimants") were represented by Marshall J. Hunzelman, Esq., located in West Des Moines, Iowa. Charles Paxton (hereafter referred to as "Respon

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Tom Dern v. Arbitration No. 98-01891 Name of Respondent Dreyfus Brokerage Services, Inc. REPRESENTATION For Claimant: For Respondent: Tom Dern In Pro Per Newport Beach, California Michael Demma Dreyfus Brokerage Services, Inc. Beverly Hills, California CASE INFORMATION Statement of Claim file

AWARD NASD Regulation, Inc. CASE: 98-01889 Greg B. and Nayda K. Littefield, claimants vs. Royal Palm Investments Ltd., respondent. ATTORNEYS: Claimants, Greg B. and Nayda K. Littlefield appeared Pro Se., Moses Lake, WA. Respondent, Royal Palm Investments Ltd. did not appear. DATE FILED: 05/22/98 CASE SUMMARY: Claimant alleged that respondent sold his shares of Summit Bancorp and purchased shares of First Colonial Ventures without authorization.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Edward G. Cable, IRA Edward G. Cable and Susan M. Cable vs. Case No, 98-01886 Name of Respondents LT Lawrence & Co., Inc. Oppenheimer & Co., Inc. Marlon Tropeano REPRESENTATION For Claimants Edward G. Cable and Susan M. Cable (collectively "Claimants") appeared Leonard E. Lombard!, Esq. with offices located in Pleasantville, New York. For R

•" JAN. 6.1999 1Z:3QPM NfiSD REGULRTION FL NO.770 P.17 N.A.S.D. REGULATION, INC. AWARD CASE: 98-01881 Pauline Morissette-Stege, Personal Representative/The Estate of WiUiam L. Stege v. Jim Birmingham and Edward D. Jones & Co. ' REPRESENTATIVES: Claimant appeared pro se. For Respondents Edward D. Jones & Co. ("Jones & Co.") and Jim. Birmingham ("Birmingham"): Cynthia A. Doria, Esq. of Edward D. Jones & Co., St. Louis, MO. DATE FILED: June 10, 1998

AWARD XASD Regulation, Inc. CASE: 98-01880 Jan Earl Haynes, claimant vs. J. Robbins Securities, L.L.C., respondent. ATTORNEYS: For claimant appeared G. Mark Brewer, Esq., - La Jolla, CA. Respondent did not appear. DATE FILED: 5/22/98 CASE SUMMARY: Claimant alleged breach of employment contract and negligence. Claim Data Claim: $5,250.00 Interest: $.00 Atty Fees: $.00 Filing Fees: $.00 Other: $.00 Award Data Award: $5,250.

T1flR.29.1999" 5: NQ.ai9 p.19 •* STIPULATED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant ^*ta^^MV=a*M^aa«n^= i Bear Steams & Company, Inc. 9MU878 Craig Gallagher and Lisa Gallagher, Husband and Wife, Individually and as Parents and Natural Guardians of Ryan Gallagher, a Minor REPRESENTATION For Claimant Bear Stearns & Company, Inc. ("Claimant"): Bryan J. Stanley, Esq. of Rwden,