AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Edna R. Ladd and 97-05530 Name of Respondents John L. Finn Investments Incorporated Investment Planning, Inc. Asset Management Company, L.L.C. Investment Planners, Inc. REPRESENTAT1QN OF PARTIES Edna R. Ladd ("Claimant") was represented by James R Smith; Esq.,Noah, Smith & Schuknecht, P.L.C., Charles City, Iowa. John L. Finn ("RespondentFinn

STIPULATED AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Dale Hightower Names of Respondents Prudential Securities, Inc. Randall Wesley Kahn Neil Goldberg Case No. 00-02361 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Dale Hightower ("Hightower"), hereinafter referred to as "Claimant": Darren Blum, Esq., Plantation, Florida. For Prudential Securities, Inc. ("Prude

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Georgia P. Greiner v. Arbitration No. 97-05527 Name of Respondents Merrill Lynch, Pierce, Fenner and Smith, Steven K. Quinly and Thomas R. Sessums _ === ,^ REPRESENTATION For Claimant: Philip M. Aidikoff, Esq. Ryan K. Bakhtiari, Esq. Aidikoff & Uhl Beverly Hills, California For Respondents: Eric J. Glassman, Esq. Mennemeier, Glas

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05526 Nancy Vandawalker, claimant vs. Quick & Reilly; Mark Hassel; and Dean Urbanski, respondents. ATTORNEYS: Claimant appeared Pro Se. - Scottsdale, AZ, For Respondents appeared Christopher McSherry - New York, NY. DATE FILED: 11/21/97 CASE SUMMARY: Claimant alleged unauthorized trade, failure to execute trade and misrepresentations. Claim Data Aw

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-05525 Jim Caudy and Virgil Caudy, claimants vs. Joe Baudanza, Greg Pollowitz; Shamus Group Inc., respondents. ATTORNEYS: Claimants appeared Pro Se. - Lake Worth, FL. For Respondents Greg Pollowitz and Shamus Group Inc., appeared Greg Pollr vvitz - New York, NY. For Respondent Joe Baudanza appeared Jonathan S. Robbins - Fort Lauderdale, FL. DATE FILED

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Michael T. Hull vs. Case No. 97-05519 Name of Respondent Lehman Brothers, Inc. REPRESENTATION For Claimant Michael T. Hull ("Claimant") appeared Alan I. Sklover, Esq. of the firm Sklover, Himmel & Shepard, LLP. For Respondent Lehman Brothers, Inc. ("Respondent") appeared Steven G. Brody of the firm Cadwalader, Wickersham & Taft. CASE INFORMATION

AWARD NASD Regulation, Inc. In the Matter of the ArbitrationBetween Name of Claimant Donald H. Kraft, as Trustee of the Donald H. Kraft Trust 97-05517 Name of Respondents ZIV Investment Company; and Peter G. Ziv REPRESENTATION For Claimant: Donald H. Kraft, as trustee of the Donald H. Kraft Trust ("Kraft") was represented by Paul J. Sussman, Esq., located in Chicago, Illinois. For Respondents: ZIV Investment Company ("ZivCo") and Peter G

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jair Levitt v. Arbitration No. 97-05513 Name of Respondent Rebecca Rothstein and Alex Brown & Sons, Inc. REPRESENTATION For Claimant: Steven L, Miller, Esq. Encino, California For Respondents Rebecca Rothstein and Alex Brown & Sons, Inc.: Paul J. Schumacher, Esq. Keesal, Young & Logan Long Beach, California

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N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 05510 Teresa Huslig, claimant vs. Brian Stone & Olde Discount Corporation, respondents. ATTORNEYS: Claimant appeared Pro Se. - Overland Park, KS. For respondents appeared Amy Kutt Richards, Esq., - Detroit, MI. DATE FILED: 11/20/97 CASE SUMMARY: Claimant alleged failure to follow instruction, purchase of stock at higher price than claimant was able to pay, failure to disclose, and forced to pay margin when it c