NOTICE: An award was rendered in this case, but is not available.

N.A.S.D. AWARD NATIONAL ASSOClATiai OF SECUT^TIES DEALERS in the Matter of tlie Arbitration Setween \\*m E. and Carol L. Burford, Robert A. and Diane E. Newsors, JTTEN Claimants 88- 03185 consolidated with 89- 00973 and J. W. Gant and Associates, Inc. Respondent and Cross Claimant and John ya]dj\iczyk Cross-Cleim Respondent CASE SUMMARY In a claim filed with ths NASD on or d^cLt July 25, 1989, Wtm E. ani < Ja< S J. Burf

N.A.S.D. AWARD NATIONAL ASSXIATIO} OF SECURITIES UENJEBS In the Matter of ths Aibitration Between Cliff and JoAim tfcKie, Henry & Dora Peck Claimants and 89-02805 ccsisoUdated with 89>02806 Alfred (Earl) Milner, First Eagle, Inc., Brennan Ross Securities, Inc., iri-Bradley Investmsnts, Inc., State Street Securities, Inc. Respondants Claimants vnre represented by Rix:hard James Goff, Esq., Englettocd, Qolorado. Alfred (Earl) Miln

N.A.S.D. AWARD NATICNAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Dean Witter R^ixidls, Inc, mSLQf Rest)ondent George Collich Region. Year j/ 89-02685 In Inc. ( ) on or about September 26, 1989, r)ean Witter Reynolds, . ("Claiimant") alleged that George Collich ( Respondent") executed a pronissory note and has refused to pay pursuant to its terrrs. In his ^^VB^^er and Count

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant William P. Tidmore Name of Respondents Alan S. Lipsky Bryan J. Herman Ralph J. Angeline Richard S. Levitov John P. Clancy Monroe Parker Securities, Inc. Case No. 98-00716 Hearing Held: Philadelphia, PA REPRESENTATION OF PARTIES Claimant, William P. Tidmore ("Claimant") was represented by Nicolas J. Guiliario, Esq., Of Counsel Dranoff-Per

N.A.S.D. ;^HARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Betwewi Caaey E. Luna and Beverly Luna Dr. Jose Garcia and Mabel Garcia Michael RuecJdkBus 88-02926 (consolidated with_V=aZ933 and 88-02940) Name of Hasnondgnt/g^ Ibrshall Dsvia, Inc. Bead Xanode this matter was initiated fay three asperate Statamanta of Claim filed with tha National Aaaociatian of Saniritiaa Dealers, Inc. ("NASD") on g^^^irirgi

N.A.S.D. AHARD NATIONAL ASSOCIATXGN OF SECURITIES DEALERS In tha Matter of the Acbitration Betwewi Casey E. Luna and Beverly Luna Dr. Jose Garcia and tlabel Garcia Michaei ftueclteus d6-02926 (cansolidated with .9=02933 and 88-02940) MBBB of Hft«3C3ndgnt/g^ Ibrshall X3evia, inc. Brad Xanoda this raattar mm initiated by thrm separatA Statannbi of Claim fHad with tha National Awociatian of Soniritiaa Oaalsrar Inc- ("NASD") on g^^^irir

Award NASD Dispute Resolation, Inc In the Matter ofthe Arbitration Between Namp nf Clflimant^ Angelo Karakasis FFPGnn^,Inc. Nicholas 0. Zoubioulis Theodore Zoubrouiis DiMedio Kirchhoff & Company, Inc. Thomas H. King, Sr. Hearing Sita- Philadelphia, PA Case Nos. 01-00645 01-00646 01-00647 01-00648 Claimants, Angelo Karakasis ("Karakasis"), FFP Group, Inc. ("FFP"), Nicholas G. Zoubrouiis, and Theodore Zoubrouiis, hereinafter

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Mamft^f (Claimant*; Bruce and Rebecca Yordy Name rtf R< >< iprti^flpntg American Express Financial Advisors, Inc. IDS Life Insurance Company Jerome L. Stachura Ryan D. Murray In the Matter of the Arbitration Between Case No. 00-04890 (Master Case) Claimant Lorraine Yordy Case No. 00-05605 (Subordinate Case) American Express Financial Advisors, Inc.

NOTICE: An award was rendered in this case, but is not available.