Stipulated Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeffrey Mark. Diamond, Claimant v. Ameritrade, Inc,, Respondent £ase Number: 00-02141 Hearing Site: Las Vegas, Nevada REPRESENTATION OF PARTIES For Claimant: Jeffrey Mark Diamond In Pro Per Las Vegas, Nevada For Respondent Anieritrade, Inc.; Andrew J. Harger, Esq. Araeritrade, Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim filed: Aug

AWARD NASD Regulation, Inc, In the Matter of the Arbitration Between Name of Claimant EVEREN SECURITIES, Inc. and 97-03770 Name of Respondent Patrick J. Graves F EVEREN Securities, Lie, ("Claimant") was represented by Bruce Lewitas, esq. t of EVEREN Securities, Inc., Chicago, Illinois. Claimant was represented during the pleadings stage by Michael A. Kraft Esq., of Gomberg, Kane & Fischer, LTD., Chicago, Illinois. Patrick: J. Gra

DEt.15.1998 " 9=£lflM NflSD REGULATION FL ' NO.315 NASD REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Milter of the Arbitration Between Name of Claimant Herbert II. Luria 97-03764 D,H. Blirir & Co, Inc. Evan Ncvuk - REPRESENTATION For Claimant; Thomas L, Krebs, Esq. of the law firm of Ritchie & Rediker, L.L.C., Birmingham, Alabarm, For Respondents: Luther M, Dorr, Jr., Esq. of the law firm of Maynard,

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution , In the Matter of the Arbitration Between Name of Claimant Kevin Koch and 97-03761 Name of Respondents First Montauk Securities Corporation Arthur Schiavo, Sr. REPRESENTATION OF PARTIES Kevin Koch ("Claimant") was represented by John A. Macoretta, Esq., Weber, Goldstein, Greenberg & Gallagher, Philadelphia, PA. First Montauk Securities Corporation ("FMSC") was represented by

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant James Y. Chen Case Number and 97-03760 Name of Respondents The Harriman Group, Inc. Bernice Lemer Craig Cory Mark Hanna Brian Scanlon REPRESENTATION OF PARTIES For James Y. Chen ("Claimant") appeared George L. Mahr, Esq., a sole practioner, located in Madison, New Jersey. The Harriman Group, Inc. ("HGI") did not appear. Bernice Lerne

(J- N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03759 William Cutler and Wendy Cutler, claimants vs. E*Trade Securities, Inc., respondent. ATTORNEYS; Claimants appeared Pro Se, Highlands Ranch, CO, For Respondent, appeared in-house counsel, Tamiko Moore, Esq., Palo Alto, CA. DATE FILED: July 30, 1997. CASE SUMMARY: Claimants alleged that respondent purchased shares of Dell Computer Corp. stock w

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant ^ Max G, Margulis and No. 97-03758 Name of Respondents Duke & Co., Malik Pearson, Gregg Thaler, Victor Wang, and Charles Bennett REPRESENTATION OF PARTIES Max G. Margulis ("Claimant") was represented by Rochelle S. Hall, Esq., St. Louis, Missouri. Duke & Co. ("Duke") was not represented by couns

NASD'REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant John F. Hopkins, Sr. Case No. vs. 97-03753 Name of Respondents Raymond James & Associates, Inc. Robert Thomas Securities, Inc. David J. MacPhail, III J. Stephen Putnam MacPhail Investment Group, Inc. REPRESENTATION For Claimant John F. Hopkins, Sr. ("Claimant") appeared Susan S. Reidel, Esq. of the law offices of Posternak, Blankstein & Lund

NASD REGULATION, INC. STIPULATED AWARD In the Matter of the Arbitration Between Name of Claimant Andrea M. Tooker 97-03750 Name of Respondents Ronald W. Davis Americorp Securities, Inc. Timothy J. Thomas Scott A. Lanham Drew E. Schaefer REPRESENTATION For Claimant Andrea M. Tooker ("Claimant") appeared David E. Shellenberger, Esq., a sole practitioner with offices located in Boston, Massachusetts. For Respondent Ronald W. Dav

NATIONAL OF SECURITIES DEALERS. INC. NASD AWARD AUG 14 1998 NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between: Name of Claimant Martin Sarafian Names of Respondents Jeff Schuler Noble Investment Co. of Palm Beach NASD CASE NO. 97-03749 fq" JUL £81998 REPRESENTATION For Claimant Martin Sarafian: (Pro Se) For Respondents Jeff Schuler and Noble Investment Co. of Palm Beach: Wayne