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

Arbitration ri.M.ii.ij. MWI^RI' — ^ National Association of Securities Daaltrs* Inc. riATlurJAL ASSOCIATIUN (JF SECUIUTIES DCALEJ^S 3:fWhit'S^S^reer**'' New York. New York 10004 II Mio riat.Lpr "f the Arl^itrati'jn Between N^ig v£ Claimanttsi Jolui and Joyce Hall 89-00215 Naiie uL ReEpondent ( s 1 '"fay^t'jiie Nash, In'.-. •'-it k AI l»?rr s'"'n !-(' -1; I'^ie^h'^?" Claijnants John and Joyce Hall alleged that Respondents sold them

f:AMIG:iAL ASSOCIATIOfl OF SECURITIES DEALERS, lilC. In ths hatter or iUa nrbitration Between JEANNE riERMANSON and DEAN WTTER REYNaDS, I NC. Q ai mant (s) CASE NO. 89-00188 Respondent (s) CASE SUMVARY Jeanne Hermanson ("Qaimant") alleged that the Dean Wtter Reynolds, Inc. ("Respondent") over charged her for conrri ssi ons on a sale of USGVT units and reconrnended a unsuitable stock, Corvus. Dean Wtter denied each of t he al I egat i ons o

Region -S _ ^ CL-^ Volunie ^ . . iNumber^ NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. In the Matter of the Arbitration Between Dean Witter Reynolds, Inc. vs. Paul Gerring Claimant and Counter- Respondent Respondent and Counter- Claimant AWARD CASE NO. 89-00149 SUfflARY OF ISSUES Claimant alleged Respondent, while an employee of Claimant, was the account executive for four customer accounts in which C

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Ronald Z, Hoffman, (Claimant) vs. Interfirst Capital Corporation, Christopher Scott Dennis, Ernst Enriquez Poblacion, and Scott Louis Kelly, (Respondents). ; • Case Number: 98-00567 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Ronald Z. Hoffman; Joseph E. Floren, Esq., Steefel Levitt & Weiss, San Francisco, California. Interfirst Capital Corporation: Robe

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00565 Palmer E. Cone, TTEE Revocable Trust, claimant vs. Ash and Co., Inc., respondent. ATTORNEYS: For claimant appeared Irving M. Rosenberg, Esq., - Mishawaka, IN. Respondent did not appear. DATE FILED: 2/13/98 CASE SUMMARY: Claimant alleged unauthorized trade and breach of fiduciary duty. Claim Data Award Data Claim: $10,000.00 Award: $6,442.28 Filing Fee: $.00 Filing Fee: $.00 Other: $.00 Other

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimants Stanley L. Samberg and Judith M. Samberg and 00-02918 Kansas City, Missouri Name of Respondent Fahnestock & Co., Inc. REPRESENTATION OF PARTIES Stanley L. Samberg and Judith M. Samberg ("Claimants") were represented by John J. Miller, Esq., Law Offices of John J. Miller, P.A., Overland Park, Kansas. Fahnestock & Co., Inc. ("Respondent") was rep

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bruce Liu (Claimant) vs. Monroe Parker Securities, Inc., J. B. Oxford t & Company, Alan Lipsky, Bryan Herman, Louis DiFruscio, Robert Velez, & Jeffrey Garnett (Respondents) Case Number: 98-00562 Hearing Site: San Francisco, California. REPRESENTATION OF PARTIES Bruce Liu hereinafter referred to as "Claimant": Timothy A. Canning, Esq., The Sapiro Law Firm, San Francisco, Califo

Award NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant David C.Mohr v. NASD Case: 98-00560 Name of Respondent Hambrecht & QuistLLC REPRESENTATION OF PARTIES For Claimant: John J. Cullen, Esq., Culleri & Wood, San Francisco, California. For Respondent: Thomas P. Klein, Esq., Orrick, Herrington & Sutcliffe, San Francisco, California. CASE INFORMATION Hearing Situs: San Francisco, California. Claimant

AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimants / Counter-Respondents Woodmen Financial Services, Inc. and Woodmen of the World / Omaha Woodmen Life Insurance Society vs. Names of Respondents / Counter-Claimants Ted W. Rudolph, Barton D. Rudolph, and Darrin B. Rudolph and Name of Third-Party Claimant Woodmen Financial Services, Inc. vs. Name of Third-Party Respondent Rudolph Brothe