AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of Claimants) Robert Yapp and Elizabeth Shrank-Yapp, Trustees of the Yapp 1992 Trust v. Arbitration No. 98-00956 Name of Respondentfs) Dakin Securities Samuel Skinner Robert B. Hutchinson REPRESENTATION For Claimant: Martin H. Meyers, Esq. Gray Gary Ware & Freidenrich LLP Palo Alto, California For Respondents Dakin Securities and Samuel Skinner:

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant Robert Winterhalter v. - Arbitration No. 98-00955 Name of Respondents Wells Fargo Bank, N.A., Wells Fargo Securities Inc., Patricia Ann Ross, Paul George Nalbandian, and William Kennedy REPRESENTATION For Claimant: Charles J. Hunt Jr., Esq. Hayton and Hunt Victorville, California For Respondents Wells Fargo Bank, N.A., Wells Fargo Securi

JUL. 1.1999 , AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Bany A. Rosenthal Geraldine Rosenthal Thomas J> Kilgallon Grace C- Kilgallon 98-00949 ' f Respondet Charles Schwab & Company, Inc. Fechtot Detwiler & Company REPRESENTATION For Claimants Barry A. Rosenthal, Geraldine Rosenthal, Thomas J. Kilgajlon and Grace C. Kilgallon; Darryl Richards, Esq. and Guy M. Bums, Esq. of Johnson,

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants James N. Elaine, and Sharon B. Btaine and 98-00948 Name of Respondents Stifel s Nicolaus & Company, Incorporated and Thomas C. Flemming _ REPRESENTATION OF PARTIES James N. Elaine, and Sharon B. Blaine("Claimants") were represented by David C. Salivar, Esq., of Salivar & Harms, LLP, St. Louis, Missouri. Stifel, Nicolaus & Company, Incor

N.A.S.D. REGULATION, INC. AWARD CASE: 98-00947 Mary C. Greenman , claimant vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. -.Minneapolis, MN. For Respondent appeared Alicia Reines - Leo - Boston, MA. DATE FILED: 3/11/98 CASE SUMMARY: Claimant alleged failure to timely place order. Claim Data Award Data Claim: $9,741.89 . Award: $.00 Filing Fees: $.00 Filing Fees: $.00 Other: $.00 . Other: $.00 AWAR

7 KANE & FISCHER, LTD. ID: MflR 01'Cl 12 = 24 No.003 P.14 AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Jeffrey A. Amsel 98-00944 Naipcs of Respondents OJdc Discount Corporation Jason Gonzalez REPRESENTATION For Claimant: Robert Dyer, Esq. of Allen, Dyer, Doppelt, Milbrath&Gilchrist, P. A., Orlando, FL. For Respondents Olde Discount Corporation ("Olde") and Jason Gonzalez ("Gonzalez"); Rona

Award NASD Dispute Resolution In the Matter of the Arbitration Between: John Risser, (Claimant) vs. Fifth Third Securities, Inc., (Respondent) Case Number: 00-02945 Hearing Site: Columbus, Ohio REPRESENTATION OF PARTIES Claimant, John Risser, hereinafter referred to as "Claimant", appeared pro se. Respondent, Fifth Third Securities, Inc., hereinafter referred to as "Respondent": Joseph M. Callow, Jr., Esq., Keating, Muething & Klekamp, PLL, Cincinnati,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 98-00943 Gordon A. Larsen, Ken A. Larsen :.r,d Steve A. Larsen, claimants vs. Fidelity Brokerage Services, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Escondido, CA. For Respondents appeared John P. Cleary, Esq., - San Diego, CA. DATE FILED: 3/11/98 CASE SUMMARY: Claimant alleged breach of contract, fraud in execution of orders, unjust enrich

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00941 Stifel, Nicolaus & Company, Inc., claimant vs. Donald J. Wisialowski, respondent. ATTORNEYS: For claimant Stifel, Nicolaus & Company, Inc. appeared Raymond W. Gruender, Esq., - St. Louis, MO. Respondent appeared Pro Se. - Greenfield, WI. nATP.tm.Fn- 3/11/98 CASE SUMMARY: Claimant alleged balance due on employment promissory note. Claim Data Award Data Claim: $9,971.25 Award: $8,541.75 Interest

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Stephen T, James 98-00939 Names of Respondents Dean Witter Reynolds, Inc. Harmon J. Hays REPRESENTATION For Claimant: John S. Golwen, Esq. of Hale, Headrick & Dewey, PLLC., Memphis, TN. For Respondents Dean Witter Reynolds, Inc. ("Dean Witter") and Harmon J. Hays ("Hays"): James D. Yellen, Esq..of Morgan Stanley Dean Witter Reynolds, Inc., New York, NY.