N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. i i CASE: 98-01258 Bruce M. Yamada, claimant vs. Michael Edward Austin and Argent Securities, Inc., respondents. ATTORNEYS: Claimant appeared Pro Se, Lanai City, HI. For Respondent Michael Edward Austin, appeared Glen A. Delk, Esq., of the firm Lightman & Delk, Atlanta, GA. For Respondent Argent Securities, Inc., appeared its Compliance Officer, Kenneth Brill,

AWARD NASD Regulation, Inc. In the Matter of, the Arbitration Between Name of Claimant Constance B. Berkley 98-01257 Name of Respondents Ferris, Baker Watts, Inc. Brainard H. Warner, IV Mid-Atlantic Investor Services, Inc. REPRESENTATION For Claimant Constance B. Berkley ("Claimant"): Morris J. Levin, Counsellor and Attorney at Law, Washington, D.C. For Respondents Ferris. Baker Watts, Inc., Mid Atlantic Investor Services, Inc. and B

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants J.B. Sutton Group, LLC 98-01256 Name of Respondent D. Josh Berliner REPRESENTATION For Claimant J.B Sutton Group, LLC ("Claimant"), appeared Gregg R. Evangelist, Esq., general counsel for Claimant, located in Great Neck, New York. Respondent D. Josh Berliner ("Berliner") did not enter an appearance in this matter. CASE INFORMATION Claimant Statemen

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Thomas E. Capasse vs. Case No. 98-01252 Name of Respondent Greenwich Capital Markets, Inc. REPRESENTATION For Claimant Thomas E. Capasse ("Claimant") appeared William J. Wenzel, Esq., of the firm Pullman & Comley, LLC, located in Bridgeport, Connecticut. For Respondent Greenwich Capital Markets, Inc. ("Respondent") appeared Harry Frischer, Esq., of

AWARD NASD Regulation, Inc. CASE: 98-01249 Saperston Financial Group, claimant vs. Ronald Olson, respondent. ATTORNEYS: For claimant appeared Patrick G. Finegan, Jr., Esq., - Washington, DC. For respondent appeared Gregory P. Photiadis, Esq., - Buffalo, NY. DATE FILED: 4/3/98 CASE SUMMARY: Claimant alleged former employee retained records and documents that it wants returned and seeks commissions generated by Ronald Olson. Claim Data Award Data

AWARD NASD Regulation, Inc. CASE: 98-01248 Brian G. Chadra, claimant vs. Joseph Charles & Associates, Inc., Joseph Sceurman, respondents. ATTORNEYS: Claimant, Brian G. Chadra appeared Pro Se., China Township, MI For Respondents, Joseph Charles & Associates, Inc., and Joseph Sceurman appeared in-house counsel, Arnold Levine, E^., Boca Raton, FL DATE FILED: 04/03/98 CASE SUMMARY: Claimant alleged that shares of Medaphis Corporation common stock we

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Geoffrey D. Bentley and 98-01245 Name of Respondent Investors Associates, Inc. Meyers Pollock & Robbins, Inc. Matthew Proman Randy Narod Brian Petrides David Reynolds Michael Ploshnick REPRESENTATION OF PARTIES Geoffrey D. Bentley ("Claimant") was represented by Edward H. Glenn, Jr., Esq., Law Offices of Jacob H. Zamansky, New York, New

AWARD NASD Regulation, Inc. i In the Matter of the Arbitration Between Name of Claimant Rick Hampton and 98-01244 Name of Respondent Cohig & Associates, Inc. n/k/a EBI Securities Corporation REPRESENTATION OF PARTIES Rick Hampton ("Claimant") was represented by Steve A. Miller, Esq., Denver, Colorado. Cohig & Associates, Inc. n/k/a EBI Securities Corporation ("Respondent") was represented by Russell K. Bean, Esq., EBI Securities Corporat

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name Carol Kinsey, as personal representative of the Estate of William Chrun Firstar Investment Services, Inc., successor to Mercantile Investment Services, Inc. Case No. 00-02977 Rearing Site: St. Louis, Missouri RF.PttF.SF.NT A TTOM OF PAKTTFS Claimant Carol Kinsey, as personal representative of the Estate of William Chrun ("Claimant") was represented by Rache

AWARD NASD Regulation, Inc, In the Matter of the Arbitration Between Name of Claimant Kelly Koon 98-01242 Names of Respondents Barren Chase Securities, Inc. Kioumars Hafezi REPRESENTATION For Claimant: Gary R. Jones, Esq., Attorney at Law, Gainesville, Florida. For Respondents: Eugene M. Kennedy, Esq. of the Law Office of Eugene Michael Kennedy, P.A., Fort Lauderdale, Florida. CASE INFORMATION Statement of Claim filed: April 3, 1