N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-05394 Marvin Vipler, claimant vs. Gregory Evan Goldstein, respondent. ATTORNEYS: Claimant appeared Pro Se. - New York, NY. For respondent appeared Gregory Evan Goldstein - St. Louis Mo. DATE FILED: 11/14/97 CASE SUMMARY: Claimant alleged breach of fiduciary duty in the sale of common stock. Claim Data Award Data Claim: $4,279.00 Award: $.00 Filing

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Lisa Strax Case Number and 97-05393 Name of Respondents Salomon Smith Bazosy Inc. Mark Hammer Hammer and Company REPRESENTATION OF PARTIES For Lisa Strax ("Claimant") appeared Curtis L. Schrandt, Esq., of the law firm Hersh & Fowler- Cruz, located in White Plains, New York 10601. For Salomon Smith Barney Inc. ("Smith Barney") appeared Sean J. Co

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant William Durante 97-05391 Name of Respondents Whitehall Securities, Inc. Ernst & Company Tanwir Arshid Khan Shafiq Aslam Khan Peter Ludwig Gamby REPRESENTATION For Claimant William Durante ("Durante") appeared Brian K. Payne, Esq., a sole practitioner with offices located in Brooklyn, New York. Respondent Whitehall Securities, Inc. ("Whitehal

N.A.S.D. REGULATION, INC. AWARD CASE: Eugene F. Reinke, claimant AljHl vs. 97-05390 Oppenheimer & Co., Inc.; and David A. Hatz, respondents. ATTORNEYS: Claimant appeared Pro Se. For Respondents Appeared Robert Kleinberg, Esq., of Oppenheimer & Co., Inc., located in New York, New York, DATE CLAIM FILED: November 14, 1997 DATE ANSWER FILED: April 23, 1998 CASE SUMMARY: Claimant alleged that Respondent Hatz, while employed by or acting

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant KSH Investment Group, Inc. vs. Case No. 97-05387 Name of Respondent Jeremy Gorelick REPRESENTATION For Claimant KSH Investment Group, Inc. ("Claimant") appeared Carole L. Fern of the firm Berlack, Israels & Liberman, LLP, located in New York, New York. Respondent Jeremy Gorelick ("Respondent") appeared pro se. CASE INFORMATION Claimant's Stateme

DEC. 7.199B 2:24PM NPSD REGULATION Fl_ HASP REGOI&TIQN, IKC. AWARD HASD Hecpjlation., Inc., Office of Dispute Resolution in the ZCatter of the Arbitration Between f Claimant NO.574 P.10 John Ma::lonald 97-05386 Marlon Iropesno L.T. Lajfranee & Co., Inc. For Claii^anc: Edward J. Dovin, Esq. and Sandra L. Mai kin, Esq. of the law firm of Page i Baceie, Atlanta, Georgia. For Respondent L.T. Lawrence & Co., Inc- ("Lawrence*): Ruthann 6.

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Steve G. Trapp, Claimant v, T.L. Group, Inc. and Fred L. Lefevre, Respondents Case Number: 97-05383 Hearing Site: Las Vegas, Nevada Nature of the Dispute: Associated Person v. Member and Associated Person REPRESENTATION OF PARTIES For Claimant: Steve G. Trapp Pro Se Las Vegas, Nevada For Respondent T.L. Group, Inc.: Harry Ledbetter, VP T.L, Group, Inc. Fort Worth, Te

NASD AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Sanford & Maria Luisa Halperin Case Number and 97-05382 Name of Respondent Renaissance Financial Securities Corporation and Name of Third Partv Respondents Arthur Kispaugh William Holmquist REPRESENTATION OF PARTIES For Sanford & Maria Luisa Halperin ("Claimants") appeared Anthony J. Horn, Esq., a sole practioner located in Philadelphi

Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Norman Abrahams, Claimant v. Stone & Youngberg, LLC and Matthew E. Eccles, Respondents Case Number: 00-02352 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: Arthur S. Leider Investors Arbitration Specialists, Inc. San Diego, California For Respondents: Peter R. Boutin, Esq. Keesal, Young & Logan San Francisco, California

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Don Marcus and Odile M. Harcus, Claimants v. Dean Witter Reynolds, Inc. and Peter Treleaven, Respondents Case Number 97-05380 Hearing Site: San Francisco, California REPRESENTATION OF PARTIES For Claimants: William F. Fritz Fritz Law Offices Santa Rosa, CA For Respondents: Wendy R. Robinson Dean Witter Reynolds, Inc. San Francisco, CA CASE INFORMATION State