N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-03632 Estate of James E. Kellogg, claimant vs. State Capital Markets Corp., a/k/a State Street Capital Markets Corp., and Adam Kaplan, respondents. ATTORNEYS: Claimant appeared Pro Se, through its executor Robley H. Millard, Springfield, IL. Respondent State Capital Markets Corp. did not respond to the Statement of Claim. For Respondent Adam Kaplan appeared Ed

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03627 Paul Garvey as Subrogee of H.J. Meyers & Co., Inc., claimant vs. Thomas R. and Roisin M. Black, respondents. ATTORNEYS: For Claimant appeared Anthony M. Englese, Esq. - San Francisco, CA. Respondents appeared pro se. - Fairfield, CT. DATE FILED: 7/23/97 CASE SUMMARY: Claimant alleged a debit balance in a customer account. Claim Data Award Data

| FEB. 1.1999 -li:23m - , NO.295 P.HO , " AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Names of Claimants Timothy A, Wtutehorn Virginia P, Whitehoni 97-03626 Names of Respondents Gaines, Bcrland Inc. Christopher R. Dolce Joseph M. Angeloue, Jr. REPRESENTATION For Claimants: Joseph J. Heflin, HI, Esq. of the law firm of Bourland, Heflin, Alvarez & Minor, PLC., Memphis, Tennessee. POT Respondents; Jo

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 03625 Wesley E, Peltzer Revocable Trust, claimant vs. Prudential Securities, Inc., respondent. ATTORNEYS: " " Claimant appeared Pro Se. - Salt Lake City, UT. For respondent appeared Nadine H. Solomon, Esq,, - New York, NY, DATE FILED: 7/22/97 CASE SUMMARY: Claimant alleged an unauthorized trade and.an account error. Claim Data Award Data Claim: $2,350.00 Award: $3,350.00 Interest: $.00 Interest: 10% per

Award NASD In the Matter of the Arbitration Between: Names of Claimants Judit Gottdiener Suan Investments Corporation Ervin Tausky Ernest Gottdiener Names of Respondents Prudential Securities Incorporated D.H. Blair & Co., Inc. D.H. Blair Investment Banking Corp. J. Morton Davis Kenton E. Wood Wexford Clearing Services Corporation Al Palagonia Case Number: 00-02128 Hearing Site: Boca Raton, Florida REPRESENTATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03624 Eli Mason, claimant vs. Josephthal Lyon & Ross, Incorporated, respondent. ATTORNEYS: Claimant appeared Pro Se, New York, NY. For Respondent appeared Shelley Chaban, legal associate and in-house counsel, Brian J. Neville. Esq., New York, NY, DATE FILED: July 22, 1997. CASE SUMMARY: Claimant alleged that respondent recommended the purchase REPAP co

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03623 Edward D. Geer, claimant v. M.S. Farrell & Co., respondents. ATTORNEYS: Claimant appeared pro se - Lake Oswego, OR. FOT respondent appeared J.P. Wilson, Esq. - New York, NY. DATE FILED: 7/22/97 CASE SUMMARY: Claimant alleged misrepresentation and failure of fiduciary duty. Claim Data Award Data Claim: $6,300.00 Award: $.00 Interest: Unspecifi

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-03622 John W. Walsh and Margot E. Walsh, claimants vs. Painewebber, Inc., respondent. ATTORNEYS: Claimants appeared Pro Se, Huntington, NY. For Respondent appeared in-house counsel, Romaine Gardner, Esq., Weehawken, NJ. DATE FIT,ED: July 22, 1997 CASE SUMMARY: Claimant alleged that respondent failed to provide timely notification of the call for early rede

NA5D REGUIiATION. INC. In the matter of the Arbitration Between Name of Claimant ( a} Marquard (Mark) and Bernice Arndt Estate (deceased) , by James H. Krider, Executor of the Estate of Bernice Arndt Arbitration No. 97-03619 Name of Respondent fa) Piper Jaffray Inc. REPRES KNTATION For Claimants: Phillip D. Noble, Esq., Helsell Fetterman, Seattle, Washington and Wayne Gladstone, Esq., Gladstone & Swisher, Richland, Washington

NASD Regulation, Inc. Award In the Matter of Arbitration Between Harold Vermeer, Claimant, and Case No. 97-03608 Dean Witter Reynolds, Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Harold Vermeer ("Vermeer") was represented by Lonnie K. Martens, Esquire, of Davis, Gordon, Doner & Chandler, located in West Palm Beach, Florida, Respondent, Dean Witter Reynolds, Inc. ("Dean Witter") was represented by Bradford D. Kaufman, Esquire, of St