NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Caimant Comprehensive Capital Corporation 97-04957 Name of Respondent Christopher G. Ryan REPRESENTATION For Claimant Comprehensive Capital Corporation ("Claimant") appeared Steven Kevorkian, Chief Financial Officer of Comprehensive Capital Corporation located in Westbury, New York. Respondent Christopher G. Ryan ("Respondent") appeared pro se. CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04956 John H. and Ann D. Lomax, claimants vs. Oppenheimer & Co., Inc. and Timothy Schaller, respondents. ATTORNEYS: Claimants appeared Pro Se. - Dallas, TX. For Respondents appeared Russell S. Katz, Esq. - New York, NY. DATE FILED: 10/14/97 CASE SUMMARY: Claimants alleged unsuitability in the sale of common stock. Claim Data Award Data Claim: $5,25

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-02309 Stephen Wallis, Claimant vs. T.D. Waterhouse Investors Services, Inc., Respondent. ATTORNEYS: Claimant, Stephen Wallis, ("Claimant"), appeared Pro Se., New York, NY. Respondent, T.D. Waterhouse Investors Services, Inc. ("Respondent"), appeared through its in- house counsel Janis Campanella, Esq., New York, NY. DATE FILED: June 2, 2000 CASE SUMMARY: Claimant alleged that money

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04955 Donald G. Alexander, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Lewiston, ID. For Respondent appeared Courtney Andrews - Palo Alto, CA. DATE FILED: 10/14/97 CASE SUMMARY: Claimant alleged incorrect information regarding the execution price of a trade. Claim Data Award Data Claim: $510.00 Award: $

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant David Chestnut vs. Case No. 97-04947 Name of Respondents Daniel Porush Kenneth Greene Jordan Belfort Bear Stearns & Co., Inc. Charles Bennett Steven P. Sanders Andrew Greene REPRESENTATION For Claimant David Chestnut ("Claimant") appeared Lawrence J. Bochat, Esq. of the firm Bochat & Keenan, P.C., located in Garden City, New York.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04944 Anne S. Rosenquist by William S. Rosenquist/POA, claimant vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., respondent. ATTORNEYS: For Claimant appeared Howard M. Rosenfield, Esq., Avon, CT. For Respondent appeared in-house counsel, Maura T. Kelly, Esq., New York, NY DATE FILED: October 14, 1997. CASE SUMMARY: Claimant alleged that the investments sel

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Mary I. Pendergast and 97-04943 Name of Respondent J.C. Bradford Company REPRESENTATION OF PARTIES For Mary I. Pendergast ("Claimant") appeared Richard A. Vinroot, with the law firm Robinson, Bradshaw, & Hinson, P.A. located in Charlotte, North Carolina. For J.C. Bradford Company ("Respondent") appeared Claude 0. Ramer II, in house counsel located in Na

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mercantile Investment services, Inc. and 97-04941 Name of Respondent Sheila J. Mangan, and Stifel, Nicolaus & co... Inc. Consolidated with Name of Claimants Sheila J. Mangan, and Stifel, Nicolaus & co., Inc. and 97-04942 Name of Respondent Mercantile Investment services, Inc. REPRESENTATION OF PARTIES Mer

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimantfs) Charles Schwab & Co., Inc. Arbitration No, 97-04940 Name of Respondent fs) Fred McFall LaSalle Sole Proprietorship REPRESENTATION For Claimant: Darren W. Rice, Esq., Keesal, Young & Logan, Seattle, Washington For Respondents 1 : Fred McFall, Redmond, 'Washington CASE INFORMATION Statement of Claim filed: October 13, 1997 Claim

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04935 Mary Duffy, claimant vs. Smith Barney, Inc., respondent. ATTORNEYS: For Claimant appeared Adam S. Doner, Esq., of the firm Davis, Gordon, Doner & Chandler, P.A., West Palm Beach, FL. For Respondent appeared in-house counsel. Nicole L. Fenton, Esq., New York, NY. DATE FILED: October 13, 1997. CASE SUMMARY: Claimant alleged that she relied on represent