AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between OLDE Discount Corporation, Claimant, v. No. 98-01760 Jeff Judge, Respondent REPRESENTATION OF PARTIES Claimant OLDE Discount Corporation ("Claimant") was represented by Michael Knittel, Esq. of OLDE Discount Corporation located in Detroit, Michigan. Respondent Jeff Judge ("Respondent") was represented by Anthony J. Calamunci, Esq. of Calamunci, Groth, Joelson & Walerius

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Thomas Stitt, IRA v. Name of Respondent Sutro & Co. Arbitration No. 98-01758 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Patrick N. Keegan, Esq. Kraus & Kalfayan San Diego, California Michael J. Abbott, Esq. Jones, Bell, Abbott, Fleming, & Fitzgerald, LLP Los Angeles, California CASE INFORMA

NASD Regulation, Inc. Office of Dispute Resolution Arbitration No. 98-01756 Award Page 1 of 7 , Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Paul J. Berrafato, (Claimant) v. Prudential Insurance Company, (Respondent). Case Number: 98-01756 Hearing Site: Buffalo, New York REPRESENTATION OF PARTIES Claimant, Paul J, Berrafato, hereinafter referred to as "Claimant": C. George Milner, Esq., Philadelphia, Pennsylvania. Re

AWARD NASD Regulation, Inc. CASE: 98-01745 Silvio and Carla Blaskovic, JT TEN, et al, claimants vs. Bears, Stearns & Co. Inc., Chase Manhattan Bank, Trustee, et al., respondents. ATTORNEYS: For claimants appeared Carla Blaskovic - Highland Beach, FL. For respondent Bear Stearns & Co. Inc. appeared William C. Mallery, Esq., - New York, NY. Respondent Chase Manhattan Bank is not a member of NASD and did not submit to arbitration. DATE FILED: 5/12/98

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Robert V. Jaress and Helen W. Jaress and 00-03046 Phoenix, Arizona Name of Respondent Salomon Smith Barney Inc. REPRESENTATION OF PARTIES Robert V. Jaress and Helen W. Jaress ("Claimants") were represented by Timothy Jaress, Esq., San Francisco, California and Patrick Jaress, Esq., Salomon Smith Barney Inc. ("Respondent") was represented by Chr

NOV-23-33 17=11 FROM:NASD REGULATION ID= PAGE 2/10 f\ NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Daniel G. Parsons Ellen M- Petri vs. 98-01744 Name of Respondent The Prudential Insurance Co. of America REPRESENTATION Claimants Daniel G. Paisons ("Parsons") and Ellen M- Petri ("Petri") were represented by Martin R. Lentz, Esq. and James E. Miller, Esq., Pelino & Lentz, Philadelphia, Pennsylvania,

AWARD NASD Regulation, Inc. CASE: 98-01742 David W. Rhodes, claimant vs. Daniel Smith and Gregg Thaler, respondents. ATTORNEYS: Claimant appeared Pro Se, Crescent City, CA. For Respondent Daniel Smith appeared Scott Stollwerk, Esq., of the firm, Weissman & Seeger, LLP, New York, NY. Respondent Gregg Thaler filed for bankruptcy as of 2/2/98. DATE FILED: May 12, 1998 CASE SUMMARY: Claimant alleged that respondent provided advice which was inapprop

AWARD NASD Regulation, Inc. In the Matter of. the Arbitration Between i i Name of Claimant William Pergerson vs. CASE 98-01733 Name of Respondents Lionel Sterling, Jr. James Alan Villa REPRESENTATION Claimant William Pergerson ("Claimant") was represented by Erwin Cohn, Esq., of the law firm of Cohn & Cohn, Chicago, IL. Respondent James Alan Villa ("Villa") did not appear. Respondent Lionel Sterling ("Sterling") did not appear.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Irene Chung. (Claimant) vs. First Asset Management, Inc.. Christopher O'Connell. Mark I. Lew and Leonard A. Neuhaus. (Respondents). Case Number: 98-01731 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant Irene Chung ''Claimant": John E, Lawlor, Esq., Mineola. New York. First Asset Management. Inc. ("First Asset") did not enter an appearance in this matter. Re

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas R. Neary, (Claimant) vs. A.G. Edwards & Sons, Inc. and Salvadore Leo, (Respondents) Case Number: 98-01730 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Thomas R. Neary, hereinafter referred to as "Claimant": Beverly S. Knapp, Esq., Shrader and Knapp, Westport, CT. Respondents, A.G. Edwards & Sons, Inc. ("A.G. Edwards") and Salvadore Leo ("Leo"), hereinafter