Award NASD Regulation, Inc. Inthe Matter of the Arbitration Between: Anne Acton, (Claimant) vs. Investment Management & Research, Inc. and Raymond James & Associates, Inc. (Respondents) Case Number: 98-01391 Case decided on the pleadings REPRESENTATION OF PARTIES Claimant, Anne Acton ("Claimant"): Dan Waller, Esq. and Kimberly W. Shauck, Esq. Secore & Waller. Dallas, Texas. Respondent, Investment Management & Research, Inc. ("Investment Manageme

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01390 Robert M. Moore, Jr., claimant vs. Dennis Lomax and Herman Epstein, respondents. ATTORNEYS: Claimant appeared Pro Se. - Baton Rouge, LA. Respondent Dennis Lomax appeared Pro Se. - Boca Raton, FL. For respondent Herman Epstein appeared Lawrence R. Gelber, Esq., - New York, NY. DATE FILED: 4/14/98 CASE SUMMARY: Claimant alleged high pressure sales tactics. Claim Data - Award Data Claim: $3,453.00 Aw

AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimant(s) Jon D. Hochstrasser Julie B. Hochstrasser Arbitration No. 98-01389 Name of Respondent(s) Freeman Welwood & Co., Inc. REPRESENTATION For Claimants: Jon D. and Julie B. Hochstrasser, University Place, Washington For Respondent: Andrea S. Ratkowski, Freeman Welwood & Co., Inc., Seattle, Washington CASE INFORMATION Statement of Claim filed

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01388 Charles Schwab & Co., claimant vs. Jack Burroughs and Laura Burroughs, respondents. ATTORNEYS: For claimant appeared Linda A. Gallagher, Esq., - Chicago, IL. Respondents appeared Pro Se., - Spring, TX. DATE FILED: 4/14/98 CASE SUMMARY: Claimant alleged attempt to collect unsecured debit balance in customer's account. Claim Data Award Data Claim: $10,000.00 Award: $10,000.00 Interest: Requested

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 01385 Charles Schwab & Co., Inc., claimant vs. Janet Craig, respondent. ATTORNEYS: For claimant Charles Schwab & Co., Inc., appeared Linda A. Gallagher, Esq., - Chicago, IL. Respondent did not appeared. DATE FILED: 4/14/98 CASE SUMMARY: Claimant alleged breach of term on margin agreement. Claim Data Award Data Claim: $10,000.00 Award: $10,000.00 Interest: $2,313.48 Interest: $2,313.48 Filing Fees: $

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dain Rauscher Incorporated and 00-02990 Scottsdale, Arizona Name of Respondent Dennis H. Radek REPRESENTATION OF PARTIES Dain Rauscher Incorporated ("Claimant") was represented by Shelley L. Parnell, Esq., Dorsey & Whitney, LLP, Minneapolis, Minnesota. Dennis H. Radek ("Respondent") appeared pro se, CASE INFORMATION The Statement of Clai

STIPULATED AWARD NASD DISPUTE RESOLUTION, INC I 1 ' HI THE MATTER OF THE ARBITRATION BETWEEN - - / ADAM J. BURICK Claimant, and Case No. 00-00330 SECURITIES AMERICA, INC., and JAMES MCMONIGLE, Respondents. REPRESENTATION OF THE PARTIES Claimant Adam J. Burick was represented by Brian A. Carlis, H:sq. f of the law firm of Stark & Stark/ 995 Lenox Drive, Lawrenceville, NJ 08648. Respondents, Securities America, Inc.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Paul Majane, (Claimant) vs. Prudential Securities Incorporated and Peter Ambrose, (Respondents) Case Number: 98-01382 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Paul Majane, hereinafter referred to as "Claimant": Howard S. Meyers, Esq., Meyers & Heim LLP, New York, NY. Previously represented by: David Neier, Esq., Camhy Karlinsky & Stein LLP, New

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Case Number: 98-01381 Akbarali G. Virani, M.D., P.C., Defined Benefit Plan and Nazlin Virani, (Claimants) vs. Frank J. Skelly, Jordan Belfort, Daniel Porush, Irving Stitsky, Kenneth Greene, Duke & Company, Inc., Marshall Bernstein, Maidstone Financial Corp., Stuart Litman, Jerard Basmagy, George Carlo, and Vincent Molinari, (Respondents) consolidated with: Case Number: 97-03779

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Charlotte Spitzer vs. Case No. 98-01378 Name of Respondents H.J. Meyers & Company, Inc. a/k/a Thomas James Associates, Inc. Paul Steinbrenner Steven Trusso REPRESENTATION For Claimant Charlotte Spitzer ("Claimant") appeared Reuven Jacobs, Esq., a sole practitioner located in New York, New York and Jay Bohensky, Esq., of counsel to Mr. Jacobs. Fo