AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimantfs) Joanne Schroeder Arbitration No. 97-05990 Name of Respondentfg Wedbush Morgan Securities David Stover REPRESENTATION For Claimant: Douglas V. Ailing, Esq., Smith Ailing Lane, P.S., Tacoma, Washington For Respondents: Christian N. Oldham, Esq., Lane Powell Spears Lubersky, Seattle, Washington CASE INFORMATION Statement of Claim filed

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-05988 Ross J. Licero, claimant vs. Charles Schwab & Co. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Charlottesville, VA. For Respondent appeared in-house counsel, Gregory M. Scanlon, Esq., San Francisco, CA. DATE FILED: December 26, 1997 CASE SUMMARY: Claimant alleged that respondent failed to provide accurate information regarding the status of

I DEC.19.1998" l:05PM NflSD REGULPTION PL NO.754 P.16 N.A.S.D. REGULATION, INC. AWARD NASD filiation Number: 97-05985 James Eiifl Edwards n v. Gunnallen Financial, Inc., Bradley A. Fay, and Bert Savage REPRESENTATION: Claimani j lames Earl Edwards n appeared Pro Se. For Respondent Gunnallen Financial, Inc, ("GAP"): Bradley A, Fay of Guonallen Financial, Inc. ; i Respondsnt Bradley A. Fay ("Fay") appeared Pro Se. Respondent Bert Savage ("

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between ' Name of Claimant EVEREN Securities, Inc. and 97-05978 Name of Respondent Jeffrey A. Bebee REPRESENTATION OF PARTIES EVEREN Securities, Inc. ("EVEREN" and/or "Claimant") was represented by A. Brad Busscher, Esq., EVEREN Securities, Inc., Chicago, Illinois. Jeffrey A. Bebee ("Respondent") was represented by Edward J. Miller, Jr., Esq., Benson & Guest, LLP, St. Louis, Mi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATIQN T INC. CASE: ST7-05975 Gregory R. Anderson, claimant vs.. David J. Provenzano & First of Michigan Investments, respondents. ATTORNEYS: Claimant appeared Pro Se. - Coral Springs, FL. For Respondent First of Michigan Corporation appeared Jeffrey D. Plopa, Esq. - Detroit, MI. Respondent David J. Proyenzano appeared Pro Se, - Jackson, MI. DATE FILED: 12/24/97 ' \ •

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Clarissa M. & Thomas J. Bell Case No. vs. 97-05972 Name of Respondents Merit Capital Associates, Inc. Michael Healey REPRESENTATION For Claimants Clarissa M. and Thomas J. Bell ("Claimants"), Thomas H. Tucker, Esq. located in Duxbury, Massachusetts. For Merit Capital Associates, Inc. ("Merit Capital"), Robert Fitzpatrick, Esq. in-house counsel a

AWARD NASD REGULATION, INC. Case No. 97-05970 In the Matter of the Arbitration Between Name of Claimant Thomas H. Burrowes Name of Respondent T. Rowe Price Investment Services, Inc REPRESENTATION Thomas H. Burrowes ("Claimant") pro se Respondent T. Rowe Price Investment Services, Inc. ("Respondent") was represented by Rita C. Burghardt, Esq. of Piper & Marbury L.L.P., located New York, New York. CASE INFORMATION Claimant's Statem

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claiman* Wayne Pensenstadler vs. Case No. 97-05968 Name of Respondents Michael Accurso Marshall Bernstein Angelo John Bosco Michael Cardello Frank J. Casillo Thomas Fede Shane T. Ferras Scott H. Follett Jeffrey Gray Marc Hanna HGI, Inc. Chaim Lax Bernice Lerner Stuart Litman Maidstone Securities, Inc. Shawn Nester

AWARD NASD REGULATION, INC. IN THE MATTER OF ARBITRATION BETWEEN CHARLES SCHWAB & CO., INC., Claimant Case Number 97-05956 v. Edward D. Buchanan, Respondent REPRESENTATION OF PARTIES For Charles Schwab & Co., Inc. ("Claimant") appeared Diane C. Fischer, Esq., of Gomberg, Kane & Fischer, located in Chicago, Illinois. Edward D. Buchanan ("Respondent") appeared pro se. CASE INFORMATION Claimant filed the Statement of Claim on Decemb

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 05955 Martin Feuer, claimant vs. Frank Cardia and Worthington Capital Group, respondents. ATTORNEYS: Claimant appeared Pro Se. - Delray Beach, FL. Respondent Frank Cardia appeared Pro Se. - Bogota, NJ. For respondent Worthington Capital Group appeared Vincent M. Lentini, Esq., - New York, NY. DATE FILED: 12/23/97 CASE SUMMARY: Claimant alleged failure to execute. Claim Data Award Data Claim: Specifi