JUN-01-1994 14:27 FROM fiUniN. bUCb. m lu o ArMtratien © o N.A.S.O. ASORD HKTIONAL ASSQCZATICK CF SEOURSUES DBACERS In tl» Matter of the AzDitration BetMsefT Jones K. Moss Arthur Posner PriKiential-Bacha Secucities Inc. Rcudential-Agriculture Inc. . SWMMM 0mi9t$, ine. One East Broward iouisvard Suit* 1000 Ft LaudSRial*. RorMa 33301 (305) 522.7391 case ND. 90-00492 , and CAse 10. 90-00527 >< C' tisaxd

Name of Qaimants Peggy Henkel and Shawna Henkel Name of Respondents Coastline Financial, Inc., Donald A. Williams, William A. ScheUenberg, Eric M. Gorshe, Jermaine Lamar Jackson, Damon A. Pierson Arbitration No. 98-00072 REPRESENTATION For Qaimants: For Respondent Damon A. Pierson: Steven M Green, Esq. Law Offices of Steven M. Green San Diego, California Paul W. Thomas, Esq. Law Offices of Paul W. Thomas Carlsbad, Californi

Name of Qaimants Peggy Henkel and Shawna Henkel v. Name of Respondents Coastline Financial, Inc., Donald A. Williams, William A. Schellenberg, Eric M. Gorshe, Jennaine Lamar Jackson, Damon A. Pierson Arbitration No. 98-00072 REPRESENTATION For Claimants: For Respondent Damon A. Pierson: Steven M. Green, Esq. Law Offices of Steven M. Green San Diego, California Paul W. Thomas, Esq. Law Offices of Paul W. Thomas Carlsbad,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James N. and Barbara B. Galbraith 96-03929^ 96-04015 96-04016 Name of Respondent 96-04017 Nationwide Securities Corporation CASE SUMMARY In cases filed with the National Association of Securities Dealers Regulation, Inc. on September 4 and 9, 1996, claimants James and Barbara Galbraith ("claimants") who appeared P

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimants James N. and Barbara B. Galbraith 96-03929^ 96-04015 96-04016 Name of Respondent 96-04017 Nationwide Securities Corporation CASE SUMMARY In cases filed with the National Association of Securities Dealers Regulation, Inc. on September 4 and 9, 1996, claimants James and Barbara Galbraith ("claimants") who appeared P

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 02-03827 Elaine A. Wise Names of the Respondents Hearing Site: Tampa, Florida Emmett A. Larkin Company, Inc. Christopher C. Jansen Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES For Elaine A. Wise, hereinafter referred to as "Claimant": William J. Schifino, Jr., Esq., and Brenda Combs, Esq., W

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Alan & Heidi Farrugia 96-04817 consolidated with 96-3217 Name of R&spnndem^ Raymond, James & Associates, Inc. BUi J. Short, n Stephen Trigg Kuhn REPRESENTATION For Claimants Alan & Heidi Farrugia: Joseph P. J^eson, Esq. and James Karl, Esq. of James Karl & Associates, Marco Island, Florida. For Respondents Raymond, James & Associates, Inc

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant(s) Ronald Tracy- Consolidated Arbitration Case Numbers 96-05062 and 96-05255 . Name of Respondent(s) Dain Bosworth Incorporated REPRESENTATION For Ronald Tracy: Scott A. Shorr, Esq. and Keith A, Ketterling, Esq., Stoll Stoll Berne Lokting & Shlachter P.C, Portland, Oregon For Dain Bosworth Incorporated: Ronald P. Kane, Esq., Gomberg Kane &

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Joyce Kossack, Tmstee-The Kossack Survivors Tmst and The Kossack Marital Trust, Joseph G. & Eileen Milstein, JTWROS, and Joseph G. Milstein, IRA Arbitration No. 96-05619'^ Consolidated with 96-05620 Name of Respondents Lazar Frederick and Co., and Betty Rubin REPRESENTATION For Claimant Joyce Kossack: For Claimants Josep

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant David A. Rawlings Name of the Respondent The Advisors Group, Inc. Name of the Third Party Respondent James D. Sadlier Case Number: 03-00228 (Consolidated with 03-02487 and 03-02488) Hearing Site: Atianta, GA Nature of the Dispute: Customer vs. Member vs. Associated Person. In the Matter of the Arbitration Between: Names of the Claimants