AWARD NASD Regulation, Inc. CASE: 98-1420 The Estate of Dorothea Do.nohue, claimant vs. Randy J. Lindrud, respondent. ATTORNEYS: For claimant appeared Randall A. Pratt, Esq., - Edina, MN. For respondent appeared Stephen E. Yoch, Esq., - Saint Paul, MN. DATE FILED: 4/15/98 CASE SUMMARY: Claimant alleged that respondent sold GNMA Securities and purchased tax exempt municipal bond funds. Claim Data Award Claim: $8,427.74 Award: $.00 Other

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Kevin and Kathleen Wallace vs. Case No. 98-01418 Name of Respondents Foster Jeffries Securities, Corp. Frederick Hentschel Marcus Ramos REPRESENTATION For Claimants Kevin and Kathleen Wallace (collectively "Claimants") appeared Adolph D. Seltzer, a sole practitioner located in New York, New York. For Respondents Foster Jeffries Securities, Corp

JflN.21.1999 li:23flM NO. 553 STIPULATED AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Ralph Vartanian 98-01416 Name of Respoodent A.F, Best Securities, Inc. REPRESENTATION For Claimant: Ronald D. Shmdler, Esq. of Fowler, White, Burnett, Hurley, Banick & Strickroot, P. A., Miami, Florida. For Respottlent A.F. Best Securities, lac. ('Bert") : Jan Douglas Atlas, Esq. and Eric Lee, Esq. o

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Deborah and Herbert Crowley NASD Case No, 98-01407 Names of Respondents Paine Webber, Inc. Jeffrey Dudas Art Day REPRESENTATION For Claimants: Mel Pearlman, Esq. and Judith Segelin, Esq. of Mel PearlmanP.A., Fern Lake, Florida. For Respondents PaineWebber, Inc. ("PaineWebber'), Jeffrey Dudas ("Dudas") and Art Day ("Day") collectively referred

_• AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dain Rauscher Incorporated and 00-02992 Scottsdale, Arizona Name of Respondent Gary Steiner REPRESENTATION OF PARTIES Dain Rauscher Incorporated ("Claimant") was represented by Mitchell W. Granberg, Esq., Dorsey & Whitney LLP, Minneapolis, Minnesota. Gary Steiner ("Respondent") was represented by Paul J. Roshka, Jr., Esq., Roshka Heyman &

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Jesup & Lament Securities Corporation vs. Case No. 98-01404 Name of Respondent Credit Research & Trading, LLC REPRESENTATION For Claimant Jesup & Lamont Securities Corporation ("Claimant") appeared David S. Friedman, Esq. of the law offices Camhy, Karlinsky & Stein, LLP, located in New York, New York. For Respondent Credit Research & Trading, LLC ("Resp

Award NASD Regulation, Inc, In the matter of the Arbitration Between Name of Claimant Lynne Nelson v. 98-01398 Name of Respondents Mutual Securities, Inc. a.k.a. Cowles, Sabol & Company, Inc. and Thomas Alan Bailiff REPRESENTATION OF PARTIES Representing the Claimant, Lynne Nelson, hereinafter referred to as "Claimant," was William J. Carlson, Esq., Bellevue, Washington. Representing the Respondents Mutual Securities, Inc. a.k.a. Cowles,

AWARD NASD Regulation, Inc. CASE: 98-1396 Gerald Rosner, claimant vs. Joseph Sansevero and Lew Lieberbaum & Co., respondents. ATTORNEYS: Claimant appeared Pro Se. - Brooklyn, NY. For respondents appeared Isaac M. Zucker, Esq., - Garden City, NY DATE FILED: 4/14/98 CASE SUMMARY: Claimant alleged the utilization of aggressive sales techniques and misinformation .egarding shares of Xicor Inc. stock. Claim Dr>ta Award Data Claim: $3,624.00 Award

MX IK :;.'. In ihe Natter of the Arbitration Between nr 7r- '- "»>ot'*in.t, r _" U •*--;*UML« wt Name of Claimant |Q) l r V/ fc" Jean Francois de Chadenedes uti, ;, :Q$Q £P»i.. ' - • "^'*» and 98-01394 Name of Respondent Salomon Smith Barney, Inc. William Eck REPRESENTATION OF PARTIES Jean Francois de Chadenedes ("Claimant") was represented by Dorothy de Chadenedes, Esq., Boulder, Colorado.

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01393 Elena Lubomiroua Milkova, claimant vs. Janda, Phillips & Garrington, respondent. ATTORNEYS: Claimant appeared Pro Se. - La Jolla, CA. Respondent did not appeared. DATE FILED: 4/14/98 CASE SUMMARY: Claimant alleged breach of contract and unauthorized trading. Claim Data Award Data Claim: $2,500.00 Award: $1,410.65 Filing Fees: $.00 Filing Fees: $50.00 Other: $.00 Other: $.00 AWARD: The unde