AWARD NASD REGULATION. INT... OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Michael Short, Individually and as Trustee of the Short Family Revocable Trust, Roland Pang, and James Wing v. Arbitration No. 97-04891 Name of Respondent(s) Sterling Foster & Company, Inc., Adam R. Lieberman, Frank J. Monroig, Andrew F. Soldo, Jr., Andrew Tursi, Timothy I. Matthews, Dave Weeks, Brian Kearney and

U/.22/98 MON 14:52 FAX NASD RFGlIIATTfiN Dfctl: Dl/19/»> Tint: it;** ~i --. • ~.^ - - - liASU ttfitaULAl iUIN Igj UUU AWARD NASD Regulation, Inc. _ , .. , . _ . h} the Mauerofthe of flaimaul John R. Risser •and 97-04885 fjame ofjiespnndent- Merrill Lvnch Pierce Fcnner & Smith, Inc. REPRESEffljATlON OFf^RTlRS John R. Risser ("Claimant 11 ) was represented by Francis J. Landry, Esq., Wasserman, Bryan, Landry & Honold, Toledo. Ohio.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Benjamin T. and Madeline Lavin 97-04881 Name of Respondent Jason H, Kim a/k/a Chang Hwan Kim REPRESENTATION For Claimants Benjamin T. and Madeline Lavin ("Claimants") appeared Claimant Benjamin T. Lavin pro se. Respondent Jason H: Kim, a/k/a Chang Hwan Kim > ("Respondent") appeared pro se. CASE INFORMATION Claimants' Statement of Claim was

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Leila Benham, Claimant vs. A.G. Edwards & Sons, Inc., Respondent. Case Number: 97-4878 Hearing Site: Cleveland, Ohio REPRESENTATION OF PARTIES Claimant, Lelia Benham ("Benham"), hereinafter referred to as "Claimant": pro se. Respondent, A.G. Edwards & Sons, Inc. ("Edwards"), hereinafter referred to as "Respondent": William S. Port, Esq., A.G. Edwards & Sons, Inc., St. Louis, Ohio.

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Kenneth T. Fibich, Claimant and Case No. 97-04876 Lexington Capital Corporation, Respondent and Third-Party Claimant^ and Chanse Keith Menendez, Third-Party Respondent. REPRESENTATION OF PARTIES Kenneth T. Fibich (thereafter referred to as "Claimant") was represented by Robert E. Lapin, Esq. of Carrigan, Lapin, Landa & Wilde, LLP located in Houston, Texas. Lexington

Arbitration No. 97-04875 AWARD NASD Regulation. Inc . In the matter of the Arbitration Between Name of Claimant(si James J. Reynolds III Name? of Respondent (s A.G. Edwards & Sons, Inc. Gerald F. Smiley REPRESENTATION For Claimant: Ralph A. Gant, Esq.,. New York, New York For Respondents: Phyllis A. Hartrich, Esq., A.G. Edwards & Sons, Inc., St. Louis, Missouri CASE INFORMATION Statement of Claim filed: October 3, 1937 Cl

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Perry Gershon and Charles Rosenzweig, (Claimants) vs. Caisse Des Depots Securities Inc., Ramine Rouhani, Brook Payner, CDC Capital, Inc., CDC Mortgage Capital Inc., CDC North America Inc., and Caisse Des Depots Et Consignations, (Respondents) Case Number: 00-02302 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimants, Perry Gershon ("Gershon") and Charles Rosenzweig (

Award NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimants Jimmie R. Cox, individually and as manager of the United Trust and California Trust Arbitration No. v. 97-04873 Name of Respondents C.R.E. Equity Investors, a California Limited Partnership; C.R. Boggs Financial Services, Inc.; C. Boggs, Inc.; CRB Development, Inc.; Charles R. Boggs; Joe Greenstreet Name of Cross-Claimant C.R.E Equity Name of C

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-04872 James Anderer, claimant vs. E-Trade Securities, respondent. ATTORNEYS: For Claimant Claimant appeared Pro Se. - Huntington, NY. For respondent appeared Bob Salvador - Palo Alto, CA. DATE FILED: 10/7/97 CASE SUMMARY: Claimant alleged failure to timely execute trade of common stock. Claim Data Award Data Claim: $5,734.00 Award: $.00 Atty Fe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04870 James R. Dawson, claimant vs. J.C. Bradford & Co., respondent. ATTORNEYS: Claimant appeared Pro Se, Ashland, KY. For Respondent appeared in-house counsel, Claude O. Ramer n, Esq., Nashville, TN. DATE FILED: October 7, 1997. CASE SUMMARY: Claimant alleged that respondent's representatives failed to advise her that a portion of her investment in annuit