AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Gloria Lovrek and Luz Ochoa 97-04621 Names of Respondents Respondent Pershing Division of Donaldson Lufkin & Jenrette Securities Corporation Respondent Carlos Otalvaro-Coronado Respondent Winston Rodgers & Otalvaro, Inc. Third Party Respondent Lawrence B. Rodgers Third Party Respondent Lesley Winston REPRESENTATION For Claimants Gloria Lovrek

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Barbara Benson v. Name of Respondent Rickel & Associates, Inc., John Laurienti, and Kenneth David Rickel Arbitration No. 97-04620 REPRESENTATION For Claimant: For Respondent Kenneth David Rickel: For Respondent John Laurienti: Barbara Benson In Pro Per Coalinga, California Francis V. Imbornone, Esq. and Catherine A. Helwig, E

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant D. W. Bailey, Inc. and 00-02271 Kansas City, Missouri Name of Respondents Bear Stearns & Co., Inc. William R. Coke REPRESENTATION OF PARTIES D. W. Bailey, Inc. ("Claimant") was represented by Michael C. Mahoney, Esq., Mahoney & Hagberg, Minneapolis, Minnesota. Bear Stearns & Co., Inc. ("Respondent Bear Stearns") and William R. Coke ("Respond

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Wachovia Securities, Inc. Case No. 00-00253 Names of Respondents Charles H. Sipple, IV R. Scott Howard Morgan McAlpin Merrill Lynch, Pierce, Fenner & Smith, Inc. REPRESENTATION OF PARTIES For Wachovia Securities, Inc., hereinafter referred to as "Claimant": Pamela P. Warnement, Senior Vice President and Deputy General Counsel, Wachovia Secur

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Beatrice M. Barclay Case No. 97-04612 Names of Respondents Key Investments, Inc. and Cynthia A. Bulinski REPRESENTATION For Beatrice M. Barclay ("Claimant") appeared Philip M. Marshall, Esq., of the law firm of Andrews, Sanchez, Amigone, Mattrey & Marshall, L.L.P., located in Buffalo, New York. For Key Investments, Inc. and Cynthia A. Bulinski ("Respond

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04611 Reza Aryafar and All Aryafar, claimants vs. BA Investment Services, Inc.. respondent. ATTORNEYS: Claimants appeared Pro Se through Ali Aryafar, Houston, TX. Respondent appeared Pro Se through its Director of Compliance, M. Erin O'Rourke, Oakland CA. DATE FILED: September 18, 1997. CASE SUMMARY: Claimant alleged that respondent did not notify him in a

Arbitration No. 97-04593 AWARD NASD Regulation. Inc. In the matter of the Arbitration Between Name of Claimant fs) Kirn Schademan Name of Respondent(s) First United Equities Corporation Howard Weinstein James Pellizzi REPRESENTATION For Claimant: Eric D. Lansverk, Esq., Hi 11 is Clark Martin & Peterson, Seattle, Washington For Respondent First United Equities Corporation: Douglas K. Traynor, First United Equities Corporation,

AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants Robert E. Meer and Caroline Meer, JTWROS v. Arbitration No. 97-04589 Name of Respondents Greenway Capital Corp. and Jack Robert Basile REPRESENTATION For Claimants: Robert E. Meer In Pro Per Sherman Oaks, California For Respondents: Did Not Appear CASE INFORMATION Statement of Claim filed: September 17, 1997

SEP. 1.1998 ll:04PM NftSD REGULRTION PL . NO.565 P.29 NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants RobertM. Freeman Gail Freeman Amarco international, Inc. Case No. 97-04588 Names of Respondents Montgomery Securities Michael Vigo REPRESENTATION OF PARTIES For Claimants Robert M. Freeman ("Mr. Freeman"), Gail Freeman ("Mrs. Freeman"), and Amarco International.

'MAR. 29.1999— 5= 10PM NO.B19 p.10 AWARD NASD Regulation, Inc. ID me Matter of the Arbitration Between Ni^nes nf Claimants Duana Bullins Donald Carrington Tom Davidson Michele Davis Tflomas J. Farrell Beverly Gant Trent Helms Steve Lybrand Anthony C> Novoth William D. Scott Richard Singsank 97-04586 Names of Respondents Dean Witter Reynolds Inc. NationsBank Corporation NatkmsSecurities For Claimant