STIPULATED AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant!s> Ellis Copeland 97-04789 Name of ResondentlV) Olde Discount Corporation Dan Smallwood REPRESENTATION For Claimant: Gany Grooms of Farris, Warfield & Kanaday, SunTrust Financial Center, 424 Church Street, Suite 1900, Nashville, TN 37219-2327 and Mark Maddox, Maddox Koeller Hargert & Caruso, 7351 Shadeland Station Way, Suite 190, Indianapolis

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04786 Joseph R. Celovsky, Sr., and Kathleen M. Celovsky, claimants vs. A.G. Edwards & Sons, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Clearwater, FL. For Respondent appeared in-house counsel, Norman S. Buckvar, Esq., St. Louis, MO. DATE FILED: October 1, 1997. CASE SUMMARY: Claimant alleged that respondent's broker falsified information on hi

JRN.10,1999 1S10PM MflSD BOCfl NO. 600 P. 8 N.A.S.D. REGULATION, DSfC. AWARD NASD Regulation, Inc., Office of Dispute Resolution '' In the Matter of the Arbitration Between Juan Morote IRA 97-04785 nf Respondents CFG Securities Corp. Joseph Bert Barry Smith Thomas Lomas For Claimant: Christopher T. Vernon, Esq. of TreUer, Kobza & Volpe, CHTD, Naples, Florida. For Respondents: Jerry R. Linscott, Esq. of Baker & Hosteller, LLP, Orlando, Fl

AWARD NASD Regulation, Inc In the matter of the Arbitration Between Name of Claimantfs) Jarmo Tarkki Arbitration No. 97-04781 Name of Respondent f s) Edwin Lindell REPRESENTATION For Claimant: Chris R. Youtz, Esq., Sirianni & Youtz, Seattle, Washington For Respondent: Edwin Lindell, San Francisco, California CASE INFORMATION Statement of Claim filed: September 30, 1997 Claimant's Submission Agreement signed: April 24, 1997

" OCT.31.1998 2:07PM NfiSD REGULATION FL NO.279 P.8/13 NASD REGULATION, INC. AWARD i NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the AAitration Between Names of Claimants Oscar and Mercedes Bolivar Names of Respondents 97-04780 Joseph Bert Barry Smith Thomas Lotnas CFG Securities Corp. For Claimants: Christopher T, REPRESENTAHQK fVernon, Esq. of Treijser, Kobza & Vplpe, CHT0-, Naples, Florida

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Bristol Work, LTD. and Michael B. Maslanik and 97-04778 Name of Respondent Meyers Pollack Robbins, Inc. Michael Ploshnick Shelli Ploshnick Jeffrey L. Capen Foy Streetman Robert Namer REPRESENTATION OF PARTIES Bristol Work, LTD. and Michael B. Maslanik ("Claimant") was represented by Jeffrey J. Scott, Esq., Scott & Associates, P.C., Denver, C

In the Matter of the Arbitration Between: William B. and Jennifer B. Warren, and Warren Technology, Incorporated, (Claimants) v. Kensington. Weils Incorporated, Joel Marc Grant, Kevin William Loomis, Evan Lasher, Andrew Drew Levy, Elias Tachcr,.Salvador Tacher, Steven H. Vornea, Marc A. Luxenberg, Christopher Osvaklo Cortes, James A. Mclnemy, Roy Alan Elterraan and .Bear Steams & Co. REPRESENTATION O'F£AE31gg. Claimant(s), William B. and Jennifer B. Warren, and

AWARD NASP REGULATION. INC. In the matter of the Arbitration Between Name of Claimant James Kearns and Morgan Kearns v. Name of Respondents Andre Lopoukhine and Gruntal & Co., Inc. Arbitration No. 97-04767 For Claimants: For Respondents: REPRESENTATION Brian H. Reis, Esq. Law Offices of Brian H. Reis New York, New York Sherry Jason. Esq. Law Offices of Sherry Jason Topanga, California Peter Vaughn, Esq. Gr

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Richard R. Vazza as the Executor for the Estate of Dorothy P. Vazza (Claimant) v. CIBC Oppenheimer Corp. and Thomas Killilea (Respondents) Case Number: 00-02294 Hearing Site: Boston, Massachusetts Nature of the Dispute: Customer vs. Member and Associated Person. REPRESENTATION OF PARTIES Claimant Richard R. Vazza as Executor of the Estate of Dorothy P. Vazza ("Vazza") hereinafte

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04765 Freda Thurston, claimant vs. Meyers, Pollock, Robbins, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Pleasanthill, CA. Respondent did not appear. DATE FILED: 9/30/97 CASE SUMMARY: Claimant alleged failure to execute trade of common stock. Claim Data Award Data Claim: $2,220.07 Award: $2220.07 Punitive: $.00 Punitive: $.00 Atty