flUG.18,1999 3:07PM NASD BOCA NO.102 P.2 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Charles Schwab & Company, Inc. 98-01162 Name of Respondent Joseph Willard Blair REPRESENTATION For Claimant; Linda A. Gallagher, Esq. of Gomberg Kane & Fischer, Ltd., Chicago, Illinois. Respondent Joseph Willard Blair did not appear, CASE INFORMATION Statement of Claim filed; March 30, 1998. Claimant's Submission Agreement si

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name-o££laimant Fidelity Brokerage Services, Inc. Case No. 00-02967 Mame Michael E. Fiore aring Siter Baltimore, Maryland KF-PRF-SFNTATTnN r>F PAKTTF-S Claimant, Fidelity Brokerage Services, Inc. ("Claimant") was represented by Laurence K, Richmond, Esq. of Laurence K. Richmond & Associates, P.C. Respondent, Michael E. Fiore ("Respondent") represented himself.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Ran Barara vs. Case No. 98-01155 Name of Respondents David Esparza The Boston Group, LP Alan Underberg Bonnie Moore REPRESENTATION Claimant Ran Baram ("Claimant") appeared pro se. For Respondents The Boston Group, LP ("Boston Group"), Alan Underberg ("Underberg"), and Bonnie Moore ("Moore"), and David Esparza appeared Eric S. Hutner, Esq., G

N.A.S.D. REGULATION, INC. AWARD CASE: 98-01154 Gary Wilmot, claimant vs. JW Charles Clearing Corp. and Argent Securities, respondents. ATTORNEYS: Claimant appeared Pro Se. - Flanders, NJ. For Respondent JW Charles Clearing Corps appeared Gregory Tendrich, Esq. - Boca Raton, FL. For Respondent Argent Securities, Inc. appeared L. Phillips Reames - Atlanta. GA. DATE FILED: 3/26/98 CASE SUMMARY: fiduciary duty. Claimant alleged unauthorized trading,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-01152 M. Ann McKinley, claimant vs. Signal Securities, Inc. and Michael D. Moody, respondents. ATTORNEYS: Claimant appeared Pro Se, Las Vegas, NV. For Respondents Appeared its SVP/Chief Compliance Officer, Ric Bennett, Fort Worth, TX. DATE FILED: March 26, 1998 CASE SUMMARY: Claimant alleged that respondents failed to execute her sell order for 300 shares

NASD Regulation/ Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Salisbury Capital Corporation 98-01149 Name of Respondent RAF Financial Corporation REPRESENTATION For Claimant, Salisbury Capital Corporation, ("Claimant"), appeared John M. O'Connor, Esq., from the law offices of DeForest & Duer, located in New York, New York. For Respondent, RAF Financial Corporation, ("Respondent"), appeared Patrick J. Kanouff,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jay Schecter, (Claimant) vs. State Street Capital Markets Corporation, Robert Peter a/k/a Robert Guidicipietro, and Radcliffe Bent, (Respondents) Case Number: 98-01148 Hearing Site: Albany, New York REPRESENTATION OF PARTIES Claimant Jay Schecter, hereinafter referred to as "Claimant": Peter A. Lagorio, Esq., Oilman and Pastor, LLP, Saugus, MA and Mark S. Williams, Esq., a sol

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Lonnie E. Coffie v. Name of Respondent HJ. Meyers & Co,, Inc., Brett Briggs, Michael Jones, Dan Rudrick, Joey Amir Parsi, David Young Lee, and Cowen & Company Arbitration No. 98-01143 REPRESENTATION For Claimant: For Respondent Michael Jones: Lonnie E. Coffie In Pro Per Garden Grove, California Burke W. Willsey, Esq. Law Offi

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Leo Raterman, M. D. v. Arbitration No. 98-01142 Name of Respondents Charles Schwab & Co., Inc., Jeffrey Daily, and Jeffrey Linsargen REPRESENTATION For Claimant: Leo Raterman, M. D. In Pro Per Riverside, California For Respondent: Charles Schwab & Co., Inc. Dena L. Murphy, Esq. Keesal, Young & Logan Long Beach, California CASE IN

—RPR.26,1999- 9:57AM N0.6B4 P.36 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name ofClaimant Mitchell Frank 98-01141 Name^of Respondent MJ. Whitman, Inc. f/k/a MJ. Whitman LP REPRESENTATION For Claimant Mitchell Frank ("Frank"); Louis M, Silber, Esq, of Lewis* Vegosen, Rosenbach, Silber & Dunkel, P.A., West Palm Beach, Florida. For Respondent M.J. Whitman, Inc., f/k/a MJ. Wliitman, LP ( ("Whitman"): G