NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant David E. Weinstock 97-04376 Name of Respondents First Cambridge Securities Matthew Foglia REPRESENTATION For Claimant David E, Weinstock ("Weinstock") appeared Reid A. Muoio, Esq., a sole practitioner with offices located in New York, New York. Respondent First Cambridge Securities ("First Cambridge") did not appear at the hearing in this matter. Fi

MON 14:40 FAI NASD REGULATION NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Kenneth Peter Zubay and Mary E, Zubay and 97-04374 Name of Respondent Norwest Investment Services, Inc. REPRESENTATION OF PARTIES Kenneth Peter Zubay and Mary E. Zubay ("Claimants' 1 ) appeared pro se. Norwest Investment Services, Inc. ("Respondent") was representedby Shari Hallerman Gould, Esq., Norwest Corporation, Mi

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 04361 Mary M. Brinkman, claimant vs. Jang Syal, respondent. ATTORNEYS: Claimant appeared Pro Se. - Lake Ariel, PA. For respondent appeared Nihal Nahari, Esq., - New York, NY. DATE FILED: 9/4/97 CASE SUMMARY: Claimant alleged misrepresentation, churning, negligence and failure to supervise. Claim Data Award Data Claim: $9,535.45 Award: $.00 Filing Fees: $.00 Filing Fees: $75.00 Other: $.00 Other

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of an Arbitration between: Joseph R. Szpakowski NASD No. 97-04354 Claimant, v. Sterling Foster & Co., Inc., Jeff Chaimowitz, Adam Lieberman and Craig Lawrence Kellerman, Respondents. REPRESENTATION OF PARTIES Claimant Joseph R. Szpakowski, was represented by Thomas A. Hargett, Esq. of the Indianapolis office of Maddox Koeller Hargett & Caruso. Respondent Sterl

SEP. 20. 1998 10=15fiM NfiSD REGULflTION FL N0.80B P. 11 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Perry A, Diamond, Jr. 97-04S52 Name of Respondent A.S. Goldmen & Company, Inc. Third JPartv Respondent Barry Cbaskes REPRESENTATION For Claimant: Jason S. Haselfcorn, Bsq, of Boose Casey Ciklin Lubitz Martens McBane & O'Connell, West Palm Beach, Florida.

AWARD NASD Regulation, Inc, In the Matter of the Arbitration Between Name of Claimants Robert Icho Ghazi Yousef Al-Mudhaf 97-04334 Name of Respondents Salomon Smith Barney Inc. Mark Jones Charles PheJps REPRESENTATION OF PARTIES For Claimants: Ronald S. Galasi, Esq., Law Offices of Ronald S. Galasi, Burlingame, California, For Respondents: Linda R. Alpert, Esq., Salomon Smith Barney Inc., New York, New York. CASE INFORMATION

15. 1998 S :51PM NASD REGULflTION FL N0< 59g p? *! N.A.S.D. REGULATION, INC. AWARD j NASD Regulation, Inc., Office of Dispute Resolution - . - . In the Matter of the Arbitration Between nf Claimant Argent Securities, Inc. i \ 97-04329 ! Name of Respondent Robert Garcia * REPRESENTATION * For Claimant: Wayne Hillis, Esq, of the law firm of Parker Hudson Rainer & Dobbs LLP, Atlanta, * Georgian For Respondent; Arn

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names of Claimants Action Trading, Bulldog Trading^ Griffin Trading, Marlin Trading, Marvin Todd Griffin and, Michael Scott Griffin and Case No. 97-04326 Name of Respondent Penson Financial Services, Inc. REPRESENTATION OF PARTIES Action Trading, Bulldog Trading, Griffin Trading, Marlin Trading, Otter Trading, M

AWARD NASD REGULATION, INC In the matter of the Arbitration Between Name of Claimants') Joaquin "Jack" Castro Virginia "Ginger" Castro v. Arbitration No. 97-04325 Name of Respondeni/s) Raymond, James & Associates, Inc. Financial Strategies Thomas T. Brown Blaque Lyn Haston Investment Management & Research, Inc. REPRESENTATION For Claimants: Michael R. Norton , Esq. Stockton, California For Respondents Financial Strate

Award NASD Dispute Resolution. Inc. In the Matter of the Arbitration Between Na . . L. Rowe Driver, MX*. Case No. 00-02196 Ladenburg, Thalmann & Co.; Mark C. Hotton; and M.S. Farrell & Co. Site: Nashville, Tennessee Claimant L. Rowe Driver, M.D. was represented by Robert D. Tuke, Esq. of the firm of Doramus, Trauger & Ney, located in Nashville, Tennessee. Respondents Ladenburg, Thalmann & Co. ("Landenburg") and Mark C. Hotton ("Hotton")