Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Ronald Chew, Claimant v. Charles Schwab & Co., Inc., Respondent, Case Number: 98-01513 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant, Ronald Chew: Ronald Chew Pro Per Los Angeles, California For Respondent, Charles Schwab & Co., Inc.: Thomas V. Reichert, Esq. Bird, Marella, Boxer & Wolpert Los Angeles,. California CASE INFORMATION Sta

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-03011 Sharpe Capital Incorporated, claimant vs. Patrick Morgan Schiro, respondent. ATTORNEYS: For Claimant, Yuet Wong, Esq.: New York, NY. Respondent appeared pro se: Carle Place, NY. DATE FILED: My 17, 2000. CASE SUMMARY: Claimant alleged that Respondent breached his employment contract and failed to repay a promissory note. Claim Data Award Data Claim: $25,000.00 Award: $

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-01510 Access Financial Group, Inc., claimant vs. James Lamson, respondent, ATTORNEYS: For Claimant Access Financial Group, Inc. ("Claimant") appeared in-house counsel Andrew S. May, Esq., Chicago, IL. Respondent James Lanson ("Respondent") did not respond to Claimant's Statement of Claim, Chicago, IL. DATE FILED: 04/22/98 CASE SUMMARY: Claimant alleged

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Bernice R. Neumann and Case Number: 98-01505 Hearing Site: Houston, Texas Names of Respondents Southwest Securities, Inc., Cindy R. Kolb, Mark Icenogle, Patterson Icenogle, Inc., Carey B. Kolb, and Samuel W. Sibley NATURE OF DISPUTE Customer v. Member Firm, Terminated Member and Associated Persons REPRESENTATION OF PARTIES Bernice

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Morgan Keegan & Company, Inc., Claimant Case Number: 98-01504 vs. HearinaSite: Nashville,Tennessee (As Noted Herein- No Hearings Held) Ronald D. Powell, Respondent. REPRESENTATION OF PARTIES Michael K. Henry, Senior Vice President and Director of Compliance of Morgan Keegan & Company, Inc. ("Morgan Keegan"), Memphis, Tennessee, represented Claimant. Res

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-01503 Morgan Keegan & Company, Inc., claimant vs. Wes Scott Realty Corporation, respondent. ATTORNEYS: For Claimant Morgan Keegan & Company, Inc. ("Claimant"), Michael K. Henry, Esq., Morgan Keegan & Company, Inc., Memphis, Tennessee. Respondent Wes Scott Realty Corporation ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 04/22/1998

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. i • CASE: 98-01502 Morgan Keegan & Company, Inc., claimant vs. Doug Powell, respondent. ATTORNEYS: For Claimant Morgan Keegan & Company. Inc. ("Claimant"), Michael K. Henry, Attorney for Morgan Keegan & Company, Inc., Memphis, TN. Respondem Doug Powell ("Respondent"), did not respond to the Statement of Claim. DATE FILED: 4/22/1998 CASE SUMMARY: Claimant alleged that Respondent authoriz

STIPULATED AWARD NASD REGULATION, INC. Office of Dispute Resolution In the Matter nf the Arbitration Between: ) ) AMERICAN EXPRESS FINANCIAL ADVISORS, INC.) : ) and ) ) IDS LIFE INSURANCE COMPANY ) ) Claimants, ) ) -against- ) Case No. 98-01495 ) STEVEN SCHIPPEL ) ) Respondent, } : ) REPRESENTATION Claimants American Express Financial Advisors, Inc. and IDS Life Insurance Company (collectively "AEFA")

AWARD NASD Regulation, IDC. In the Matter of the Arbitration Between Edward F. Smith, III, Claimant, • v. No. 98-01494 Peter Sarotte, Jr., and OLDE Discount Corporation. Respondents. REPRESENTATION OF PARTIES Claimant.Edward F. Smith. Ill ("Claimant") was represented by Anthony V. Trogan, Esq. of Weisman, Trogan, Young & Schloss, P.C. located in Bingham Farms, Michigan. Respondent Olde Discount Corporation and Peter Sarorte, Jr. ("Respon

Award ' NASD Regulation, Inc. In the Matter of the Arbitration Between: Alex N. Markakis and Deloris J. Markakis. Claimants vs. Dean Witter Reynolds, Inc. and Nick Mr. Bapis, Respondents. Case Number: 98-01489 Hearing Site: Salt Lake City, Utah REPRESENTATION OF PARTIES Claimants, Alex N. Markakis and Deloris J. Markakis, (hereinafter collectively referred to as "Claimants"): In Pro Per, Alex N. Markakis and Deloris J. Markakis, 962 North 100 East, Pric