Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John J. Power, (Claimant) vs. Butler Larsen Pierce & Company, Inc., (Respondent) Case Number: 00-03017 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John J. Power, hereinafter referred to as "Claimant": David C. Erdos, Esq., Erdos & Maddox, LLC, Stamford, CT. Respondent, Butler Larsen Pierce & Company, Inc., hereinafter referred to as "Respondent": J

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Hiroshi Nakayama, Claimant v. Ash & Co., Inc., Hanifen Imhoff Clearing Corp.,Todd C. Peterson, Ashley Nemiroff, John J. MeAndris, and Paul Wiley, Jr. Respondents. Case Number: 98-01591 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans & Associates Los Angeles, California For Respondents: •

AWARD i ' NASB Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Wayne H. Hofmann and Janice E. Hofmann and 98-01590 Name of Respondents Piper Jaffray, Inc. Thomas A. Brazer REPRESENTATION OF PARTIES Wayne H. Hofmann and Janice E. Hofmann ("Claimants") appeared pro se. Piper Jaffray, Inc. ("Respondent") and Thomas A. Brazer ("Respondent Brazer")(collectively as "Respondents") were represented by Brian S. Hel

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimants Andrea T. Richard and Robert M. Paulson v. Arbitration No. 98-01588 Name of Respondent Marshall Klieman REPRESENTATION For Claimants: David Liebrader, Esq. Law Offices of David Liebrader Newport Beach, California For Respondent: Michael R. White, Esq. White, Reed & Calahan, LLP Los Angeles, California CASE INFORMATION Statement of C

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant William Sikes II v. Arbitration No. 98-01586 Name of Respondents Bank of America NT&SA, Bank America Investment Services, Inc., Paul Linke, Barry Brundage, and Ron Blood REPRESENTATION For Claimant: Jeffrey L. Gaffney, Esq. Law Offices of Jeffrey L. Gaffney San Diego, California David J. Hollander, Esq. Hollander & Hollander Oakland, Cal

Stipulated Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Case Number: 98-01585 Hearing Site: Cleveland. Ohio In the Matter of the Arbitration Between: George M. Staursky, Claimant vs. The Prudential Insurance Company of America, Inc. and Pruco Securities Corporation, Respondents. REPRESENTATION OF PARTIES Claimant, George M. Staursky, hereinafter referred to as "Claimant": C. Reynolds Keller and Robert D. Kehoe, KELLER & KEHO

-NOV. 2.1999 3--05PM NflSD BOCft ' NO.917 P.2 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Jdhn J. Bennett 98-01583 Names SFI Investments, Inc. Dominick Cerisano Mark Singennan Frank Fasano Robert Fitzpatrick Centex Securities, Inc. Arthur Bruce Bahlav Cowen & Company n/k/a S.G. Cowen Securities Corp. REPRESENTATION For Claimant: Harry S. Miller» Esq. of Perkins, Smith & Co

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Larry S. Clark and Virginia I. Clark, individually and as Trustees of the Clark Revocable Inter Vivos Family Trust dtd 11/21/94, Ronald P. Donnelly and Judith Donnelly, Larry Drace, Weymund Wong and Karen J. Wong, Claimants vs. SIFE, Respondent. Case Number: 98-01581 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES Claimants, Larry S. Clark and Virginia I. Clark, indi

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Thomas J. Jackson, (Claimant) vs. Barclays Capital, Inc. f/k/a BZW Securities, Inc. (Respondent) Case Number: 98-01579 Hearing Site: New York, New York REPRESENTATION OF PARTIES For Claimant Thomas J. Jackson ("Claimant"): Leonard B. Pack, Esq., with law offices in New York, New York. For Respondent Barclays Capital, Inc.: C.BarrFlynn,Esq., Sullivan & Cromwell, New York, New York.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David Richardson, ("Claimant") vs. PaineWebber, Inc., John Decker, Martin Hoekstra, and Barry Buchsbaum, ("Respondents") Case Number: 98-01577 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, David Richardson, hereinafter referred to as "Claimant": James D. Esseks, Esq., Vladeck, Waldman, Elias & Engelhard, P.C., New York, NY. Respondents, PaineWebber, Inc. ("PaineWe