N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS^REGCLATION. INC. CASE: 97-03170 Brian H. Segel, claimant v, Yee, Desmond, Schroeder & Allen. Inc. and Todd Martin Feltc. respondents. ATTORNEYS: Claimant appeared pro se - Phoenix. AZ. For Respondent Yee. Desmond. Schroeder & Alien, Inc. appeared SJ. Allen, Jr. -Phoenix. AZ. Respondent Todd Martin Felte appeared pro se - Phoenix, AZ. DATE FILED: 6/26/9?" ~ " " ~~~ — CASE SUMMAR

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Mark Vandenberg 97-03169 Name of Respondents i< HGI, Inc.; Mark Arthur Hanna; Brian Douglas Scanlon; Joseph J. Tuozzo; Stephen Craig Palumbo; and Frank Casillo REPRESENT AJIflfJ For Claimant: Thomas A. Gauza, Esq. and Leslie Alan Blau, Esq. of Blau & Bonavich, 140 S. Dearbor

ARBITRATION AWARD NASD REGULATION, INC, OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Capital Securities Investment Corporation 97-03164 Name of Respondents Paul Hassler, individually and d/b/a Premier Financial Inc.; and Crider & Associates Investments, Inc. REPRESENTATION For Claimant: Capital Securities Investment Corporation ("Capital") was represented by Michael A. Weiland, Esq. and James E.

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Chris Vovos v. Name of Respondents The Boston Group and Timothy J. Kennedy Arbitration No. 97-03163 REPRESENTATION For Claimant: For Respondent The Boston Group: For Respondent Timothy J. Kennedy: Timothy D, McGonigle, Esq. Law Offices of Timothy D. McGonigle Los Angeles, California Eric S. Hutne

NASD Regulation, Inc., Award In the Matter of Arbitration Between Glenn W. Slade, Claimant, and No. 97-03160 James Moore McDonough, Jr., Brokers Transactions Services, Inc. and Southwest Securities, Inc., Respondents. REPRESENTATION OF PARTIES Claimant, Glenn W. Slade ("Slade") were represented by David LeBlanc, Esquire and Andrew Mytelka, Esquire of Greer, Herz & Adams, L.L.P., located in Galveston, Texas. Respondents, James Moore McDon

flUG.10.1990 9=33RM NflSD REGULRTION FL ^ NO.990 P.17 N.A.S.D. AWAEiD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration of Claimants'! James D. Detwiler, Individually and as Trustee of the James D. Detwiler, Sr. Trust dated April 15, 1988 NASD CASE NO. 97-03159 Namy of Respondents H. Beck, Inc., Matthew Burger and Russell Stracke REPRESENTATION For Claimant: Stephen D. Spivey, Esq., Ocala, Florid

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Maidstone Financial, Inc. 97-03156 Name of Respondent Michael Newman REPRESENTATION For Claimant Maidstone Financial, Inc. ("Claimant") appeared Bruce J. Kahne, Esq., of the firm Gersten, Savage, Kaplowitz, Fredericks & Curtin, LLP, located in New York, New York, For Respondent Michael Newman ("Respondent") appeared Stanley S. Zinner, Esq., of the firm Gree

-JUN. 1.1998 B=05AM NASD REGULATION FL N0 . 24 g • i ^ N,A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Naroe of Claimant David L. Yazak 97-03153 Name of Respondents Merrill Lynch Pierce Fenner & Smith, Inc. Walter M. Stacker REPRESENTATION For Claimant: Edward Dovin, Esq. of Page & Bacek, P.A., Atlanta, GA. For Respondents: Elaine A. Murphey, Es < l- o

AWARD NASD REGULATION, INC. In the Matter of the Arbitration Between Name of Claimants Cynthia R. DiCostanzo, as TTEE Giorgio DiCostanzo, Mario DiCostanzo Case Number and 97-03151 Name of Respondents TAJ Global Equities, Inc. Daniel J. Glass Paul N. Ignat REPRESENTATION OF PARTIES For R. DiCostanzo, as TTEE, Giorgio DiCostanzo, and Mario DiCostanzo ("Claimants") appeared Edward T. Robinson, Esq. Of Seegel Robinson & Lipshutz,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 00-02075 Oscar A. Meyer, claimant vs. Edward Jones Brokerage, respondent. ATTORNEYS: Claimant appeared Pro Se, Gulf Breeze, FL. For Respondent appeared Lisa A. Nielsen of the firm, Greensfelder, Hemker & Gale, P.C., St. Louis, Missouri. DATE FILED: May 11, 2000 CASE SUMMARY: Claimant alleged that he lost a significant portion of his investment in the purchase of North Harris Montg