AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Charles Gorman and Patricia Gorman NASD CASE NO. 98-01486 Names of Respondents Quick & Reilly, Inc., John C. Osborn, and Scott Waterbury REPRESENTATION For Claimants: John R, Kiefher, Jr., Esq. and Clifford J. Hunt, Esq. of Riden, Earle & Kiefner, P.A., St. Petersburg, Florida, For Respondents Quick & ReilJy, Inc. ("Quick & Reilly"), John C. Osborn ("

01/17/02 THU 14:45 FAI NASD REGULATION NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. IN THE MATTER OF THE ARBITRATION BETWEEN: RICK E. WEBB, Plaintiff, vs. PRUCO SECURITIES INCORPORATED, Defendant NASD No. 98-01485 ARBITRATORS' AWARD AND ORDER OF EXPUNGEMENT OF CERTAIN CRD RECORDS OF RICK E. WEBB I. Parses and Counsel a. Claimant - Rick E. Webb; b. Claimant's Counsel - Morgan W. Bentley, Esq., 50 Park Place, Newark, Ne

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-03007 Linh Kim Iran, claimant vs. San Clemente Securities, Interfirst Capital Corporation, Cooke B. Christopher, and Daniel J. Volk, respondents. ATTORNEYS: Claimant appeared pro se, Irvine, CA. For Respondents San Clemente Securities, Inc., and Cooke B. Christopher appeared Cooke B. Christopher of San Clemente Securities, Inc., San Clemente, CA. For Respondent Interfirst Capital C

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Joseph Surace and Geraldine Hatina, (Claimants) vs. Bear Stearns and Co., Inc. and Herbert R. Zucker, (Respondents). Case Number: 98-1482 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants Joseph Surace ("Surace") and Geraldine Hatina ("Hatina"), hereinafter referred to as "Claimants": Carter R. Dodge, Esq., The Carter R. Dodge Law Group, Cleveland, Ohio. Respondent

Award NASD Regulation. Inc. In ihe Matter of the Arbitration Between: Barbara J. Francis and Timothy D. Francis. (Claimants) vs. Chiiifield Dean & Co. and Kioumars Hafezi, (Respondents) Case Number: 98-01481 Hearing Sile: San Francisco. California. REPRESENTATION OF PARTIES Barbara J. Francis and Timothy D. Francis hereinafter collectively referred to as "CJaimains": Timothy M. Ray, Esq., San Francisco, California. Chatfield Dean & Co. hereinafter r

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John R. Williams, Claimant vs. Reginald C. Corinaldi, Richard D. Woodall, Archie R. Megginson, James S.G. Davenport, Robert J. O'Brien, Ronald A. Dukes, and Davenport-Dukes Financial Services, Inc., Respondents Case Number: 98-01474 Hearing Site: Richmond, Virginia REPRESENTATION OF PARTIES Claimant John R. Williams referred to as "Claimant": Charles W. Austin, Jr., Esq., Richmond,

AWARD NASO Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Cass C. McFarland Name of Respondents A.G, Edwards & Sons, Inc., James M. Heinen, and Robert Maurer RF.PRF,SV.NTATION OF PARTIES Cass C. McFarland ("Claimant") appeared on her own behalf. A.G. Edwards & Sons, Inc. ("AGE"), James M. Heinen ("Heinen"), and Robert Maurer ("Maurer") (jointly referred to as "Respondents") were represented by M. Jane Matoesia

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Don Christopher Fuller, individually and as trustee of the Helen M. Fuller Trust under declaration of trust dated July 1, 1991, and Robert Banks Fuller, individually, and as beneficiary of the Helen M. Fuller Trust v. Arbitration No. 98-01466 Name of Respondents W. Gary Wiles, an individual, W. Gary Wiles, Registered Investment Advisor, and PIM Fina

AMENDED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between • Name of Claimant Richard Hillberry " 98-01465 Name of Respondent The Prudential Insurance Co. of America REPRESENTATION For Claimant: Elihu H, Berman, Esq. of Elihu H. Berman, P.A., Clearwater, Florida. For Respondent: Gregory S, Karawan, Esq. of Sonnenschein Nath & Rosenthal, New York, New York. CASE INFORMATION Statement of Claim filed: April 17, 1998.

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01461 John Bradford Sooby, claimant vs. Charles Schwab & Co., Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Denver, CO. For respondent appeared Sean Meehan, Esq. - San Francisco, CA. DATE FILED: 4/20/98 CASE SUMMARY: Claimant alleged account was improperly altered without legal authorization. Claim Data Award Data Claim: $500.00 Award: $.00 Filing Fees: $.00 ' Filing Fees: $.00 Other