NASD REGULATION, INC. AWARD NASD REGULATION, INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Susan Taus Arbitration No. 97-04384 Name of Respondents Smith Barney, Inc. Prudential Securities, Inc. Larry Prutch REPRESENTATION For Claimant: For Respondents Smith Barney, Inc. and Larry Prutch: For Respondent Prudential Securities, Inc. Philip M. Aidikoff, Esq. Robert A. Uhl, Es

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Rauscher Pierce Refsnes, Inc. Interra Clearing Services, Inc. vs. Case No. 97-04380 Name of Respondents E. Charles Bridle a/k/a Ronald Charles Bridle REPRESENTATION For Claimants Rauscher Pierce Refsnes, Inc. ("RPR") and Interra Clearing Services, Inc. ("ICS") (collectively "Claimants"), appeared David Fogel, Esq. and Joan Schroeder, Esq., in-

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04373 Michael G. Greene, claimant vs. Hampton Capital Management Coip. and Matthew JL Mattes, respondents. ATTORNEYS: Claimant appeared Pro Se. - Mableton, GA. Respondents did not appear. DATE FILED: 9/5/97 CASE SUMMARY: Claimant alleged unauthorized trading and failure to execute in the trading of common stock. Claim Data Award Data Claim: $6,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Craig Moore, (Claimant) v. Edward D. Jones & Co. and Greg A. Reinhold, (Respondents) Case Number: 00-02198 Hearing Site: Chicago, Illinois REPRESENTATION OF PARTIES Claimant Craig Moore ("Moore")-' Andrew J. Stoltman, Esq. of the firm Maddox Koeller Hargett & Caruso located in Chicago, Illinois. Respondent Edward D. Jones & Co. ("Edward D. Jones"): Lisa Nielsen, Esq. o

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between First Southwest Company Claimant, and No. 97-04351 Alexis Gahagan Anders Respondent. REPRESENTATION OF PARTIES Claimant, First Southwest Company, ("Claimant"), was represented by Cheryl Jerome Moore, Esquire and David Clouston, Esquire of Arder & Hadden located in Dallas, Texas Respondent, Alexis Gahagan Anders , ("Respondent"), was represented by Stewart H. Thomas, Esquire

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-06310 Edward D. Jones & Co. Name of the Respondent Hearing; Site: St. Louis, Missouri Empire Financial Group, Inc. REPRESENTATION OF PARTIES Claimant Edward D. Jones & Co. ("Claimant"): Frank Baldwin, Esquire, of Goldberg, Katz & Stansen, P.C., St. Louis, Missouri. Respondent Empire Financial Group, Inc. ("Respondent"): Philip Snyderburn,

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Brian F. Long, Claimant Case Number: 00-02200 vs. Hearing Site: Milwaukee, Wisconsin A.C. Financial, Inc., and Bradley D. St. Myer, Respondents. REPRESENTATION OF PARTIES Claimant Brian F. Long was represented by Mark E. Sanders, Esquire, of Hailing & Cayo, S.C., Milwaukee, Wisconsin. Respondent A.C. Financial, Inc. ("A.C. Financial") was not represented by

N.A,S«D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS. INC. In the matter of the Arbitration Between Name of ClaimanLs Elger A. Berkley and Maureen F. Berkley as Tmstees of the Berkley Revocable Trust Name of Respondents Smith Barney, Inc. and Bruce Whitman For Claimant: For Respondent: REPRESENTATION Elger A. B^kiey, Pro Se Linda R. Alpert, Esq. Smith Barney, Inc. New York, New York CASE INFORMATION Statement of Qaim f

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-04390 Pershing / Div. of DLJ Securities Corp., claimant v. Martin A. Palacios, respondent. ATTORNEYS: For claimant appeared Helen C. Lee, Esq. - Mitchel Field, NY. Respondent did not appear. DATE FILED: 9/8/97 CASE SUMMARY: Claimant alleged debit balance in customer's account from failure to pay for securities. Claim Data Award Data Claim: $8,559.5

I7.A.S.D. AMARD MATIONAL ASSOCIATION OF SBGTmTTTBS PBAr.wpg R. Robert Grant, and Kenneth L. Spears as Bankruptcy TTEE, Claimants, No. 92-04060 Prudential Securities, Inc., n/k/a Prudential Securities Incorporated, Respondent. RBPRgflHMTATIQW Qg PART^-Rfi Claimants R. Robert Grant, and Kenneth L. Spears as Bankruptcy TTEE ("Claimant") were represented by Carl Hughes, Esq., and Joe E. White, Jr., Esq., of Hughes, White, Adams & Grant, Oklaho