Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Campbell, Claimant v. HJ. Meyers & Co. and Dairyl Jackson, Respondents Case Number: 98-01309 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant Robert Campbell: Robert Campbell In Pro Per Burbank, California For Respondent Darryl Jackson: Simon S. Kogan, Esq. Kogan & Taubman, LLC , V- ^ vl ^ New York, New York CASE INFORMATION

MflY.25.1999 U = 18flM AWARD NO. 010 P. 43 « NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gary R. Savard 98-01298 Names of Respondents Darren Ginas Sterling Foster & Company, Inc. REPRESENTATION Claimant Gary R. Savaid appeared eifi S£- Respondents Darren Ginas ("Ginas") and Sterling Foster & Company, Inc. ("Sterling Poster") did not appear and were not represented (see "Other Issues"). r !AfiR

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-01295 Charles M. Foerster, claimant vs. A.G. Edwards & Sons, Inc., and William Leon Deloach, Jr., respondents. ATTORNEYS: Claimant Charles M. Foerster appeared Pro Se., Hurst, Texas, For Respondent A.G. Edwards & Sons, Inc., Stephen G. Sneeringer, Esq., St. Louis, Missouri. Respondent William Leon Deloach did not file a Statement of Answer. DATE FILED: 4/0

AWARD NASD Regulation, Inc. CASE: 98-01293 Gary A. Roach, claimant vs. Marc Goldberg, Scott Fertig, First Southwest Co. & Tuscany Equity Management fka Sovereign Management, respondents. ATTORNEYS: Claimant appeared Pro Se. - La Habra, CA. Respondents Scott Fertig and First Southwest Co. have been dismissed. Respondent Marc Goldberg of Fin-Atlantic Securities, Inc., appeared Pro Se. - Ft. Lauderdale, FL. Respondent Tuscany Equity Management Corp

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Francis C. Kane, Claimant. v. No. 98-01290 OLDE Discount Corporation, and Brent Obergfell, Respondents. REPRESENTATION OF PARTIES Claimant Francis C, Kane ("Claimant") was represented by Richard S. Mitchell, Esq. of Goodman Weiss Miller LLP located in Cleveland, Ohio. Respondent OLDE Discount Corporation and Brent Obergfell ("Respondents") were represented by Donald

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Robert Scherba and David Scherba (Claimants) vs. Foster Jeffries Securities Inc., Marcus Ramos, Frederick Hentschel, George Greco, Jr., Steve Kamo, Michael Wiener, Kevin Held, George Greco, SR. Fiserv Correspondence Services, Inc. n/k/a Hanifen, Imhoff Clearing Corp. (Respondents) Case Number: 98-01289 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimants Robert Scherb

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: John R. Serpico, (Claimant) vs. Stanley Zerner, (Respondent) Case Number: 00-02984 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, John R. Serpico, hereinafter referred to as "Claimant": Andrew J. Wigler, Esq., a sole practitioner, Great Neck, NY. Claimant originally appeared pro se. Respondent, Stanley Zerner, hereinafter referred to as "Respondent": John

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Charles R, McCollum Claimant, and No. 98-01288 Monroe Parker Securities, Inc. Respondent, REPRESENTATION OF PARTIES Claimant, Charles R. McCollum, ("Claimant"), represented himself. Respondent, Monroe Parker Securities, Inc., ("Respondent"), did not appear. CASE INFORMATION Claimant's Statement of Claim was filed on or about March 30, 1998. Claimant's Submission Agreeme

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Roger L. Triemstra and Geraldine Triemstra, (Claimants) vs. H.J. Meyers & Co. Inc., Leonard Allen McAbee, Jack Frank Bruscianelli, James Alan Villa, HJM Group, Inc., (Respondents). Case Number: 98-01282 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimants, Roger L. Triemstra and Geraldine Triemstara, hereinafter collectively referred to as "Claimants": Ame R. Rode, Esq.

N.A.S.D. REGULATION, INC. AWARD CASE; 98-01280 James P. Beardsley, claimant vs. GKN Securities Corp, respondent. ATTORNEYS: Claimant appeared Pro Se. - Hendersonville, NC. For respondent appeared Katherine Nathan - New York, NY. DATE FILED: 4/7/98 CASE SUMMARY: Claimant alleged breach of fiduciary duty, churning, excessive commissions, high pressure sales tactics and failure to submit prospectus . Claim Data Award Data Claim: $10,000.00 Award: $