Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Mark J. Rowe, Claimant v. Asset Planning Solutions, Inc. and Kenneth Aaron Stern, Respondents Asset Planning Solutions, Inc. and Kenneth Aaron Stern, Counter-Claimants v. Mark J. Rowe, Counter-Respondent Case Number: 00-02083 Hearing Site: San Diego, California REPRESENTATION OF PARTIES For Claimant: For Respondents: G. Mark Brewer, Esq. The Brewer Law Firm

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant William L. Kite Case No. 00-00238 Names of Respondents Argent Securities, Inc. Abdelrahim Elbakheit REPRESENTATION OF PARTIES For William L. Kite ("Kite"), hereinafter referred to as "Claimant": William G. Leonard, Attorney at Law, Atlanta, Georgia, For Respondent Argent Securities, Inc. ("Argent* 1 ): Thomas R. Todd, Jr., Attorney at La

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 97-03277 Rodney Hughes, claimant vs. Investors Associates, Inc., Lawrence Penna, Herman Epstein and Joseph Cernera, respondents. ATTORNEYS: For Claimant appeared Steven B. Caruso, Esq, of the firm, Maddox, Koeller, Hargett & Caruso, New York, NY, For Respondents Investors Associates, Inc., Lawrence Penna and Herman Epstein appeared Lawrence R. Gelber, Esq., H

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants/Counter-Respondents Ronald E. Musial and Margo Musial 97-03276 Name of Respondents/Counter-Claimants Robert Blankshain; lohn Salerno; Michael Knight; Joseph Roberts & Co.; First Southwest Company; Brian Eric Baginski; Robert Benjamin Dimarco, Ir.; Joseph Frank Desanto REPRESENTATION For Claimants/Counter-Respondents: Ronald E. Musial and Margo Musial (

AWARD NASD REGULATION. INC. '. In the matter of the Arbitration Between Name of Claimant(5] Betty J. Wilderman Ralph E. Wilderman Arbitration No. 97-03270 Name of Respondent(si Edward D. Jones & Company Bryant J. Engebretson REPRESENTATION For Claimants: William A. Kinsel, Esq., Hight Green & Yalowitz, Seattle, Washington For Respondents: Michael R. Scott, Esq., Hillis Clark Martin & Peterson, P.S., Seattle, Washington CA

Arbitration No. 97-03269 AWARD NASD Regulation, Inc. In the matter of the Arbitration Between Name of Claimant{si Ted J. Rayl Name of_Resppndent(s) Sterling Foster & Co. , Inc. Adam R. Lieberman Matthew Spencer Case REPRESENTATION For Claimant: Katherine Hendricks, . Esq., Hendricks & Lewis, Seattle, Washington For Respondents Sterling Foster & Co., Inc. and Adam. R. Lieberman: Joseph D'Elia, Esq., Huntington, New York Fo

N.A.S.D. RKGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE; 97-03268 Prudential Securities Incorporated, claimant vs. Sara D. Boyd, respondent. ATTORNEYS: For Claimant appeared Steven Malina - Chicago, IL. Respondent did not appear. DATE FILED; 7/1/97 CASE SUMMARY: Claimant alleged breach of employment contract and deficit commission balance. Claim Data Award Data Claim: $6,539.53 Award: $6,539.53 Interest

AWARD NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant John M. Connor v. Name of Respondent Schneider Securities, Inc. Arbitration No, 97-03265 For Claimant: For Respondent: Statement of Claim filed: REPRESENTATION Jeffrey L. Gaffney, Esq. Law Offices of Jeffrey L. Gaffney San Diego, California Margaret E. Peper, Esq. Davis & Ceriani, PC Denver, Colorado CASE INFORMATION

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-03508 Robert W. Barlow, Trustee, claimant vs. Foster D. Hendrix, James E. Nielson, and Prudential Securities, Inc., respondents. ATTORNEYS: Claimant Robert W. Barlow, Trustee for the Living Trust of Roben W. Barlow ("Claimant"), appeared Pro Se., San Jose, CA. For Respondents Foster D. Hendrix {"Hendrix"), James E. Nielson ("Nielson"), and Prudential Securit

stipulated Award NASD Dispute Resoiution, Inc. In the Matter of the Arbitration Between : Hugh Bamdollar, Jr., Claimant V. Case Number: 00-01734 Richard D. Koehler, Jr. and Michael C. Heimbach, Respondents Hearing Site: Tampa, Florida RVPRESKNTATTON OF PAPTTES For Hugh Bamdollar, Jr., hereinafter referred to as "Claimant" Burton W, Wiand, Esq. and Maya M. Wolfe, Esq. of Fowler White, Gillen, Boggs, Villareal and Banker, P.A., Tampa, Florida.