Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Charles Allan Meats, Jr. Case No. 00-02036 Names of Respondents Raike Financial Group, Inc. William Jasper Raike, III Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Charles Allan Mears, Jr., hereinafter referred to as "Claimant": Daniel I. Maclntyre, Esq. and Samuel T. Brannan, Esq. of Shapiro Fussell Wedge Smotherman Martin & Pric

NO, 534 P. 6 AUG. 5.1999 AWARD NASO Regulation, Inc. In. the Matter of the Arbitration Between .Name of Claimant Adam. Warcewicz, PGA/Alice A. May 97-02892 Names of TAJ Global Equities, Inc, Aramyflta West Daniel J. Glass Paul Nicholas Ignat Charles Bernard Glenn • Wilber Glen JUrdine Baton Stephen Parkins TAJ Capital Management! Inc. REPRESENTATION For Claimant: William T. Kjrtley, -i^sgi of Wfliiam T. Kiflle

NASD Regulation, Inc. Award NASD Regulation, Inc, Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Jane Leving and 97-02891 Name of Respondent Oppenheimer & Co,, Inc., and Timothy O'Leary REPRESENTATION OF PARTIES Claimant Jane Leving ("Claimant") was represented by Jack B. Spooner, Esq., of Wittner, Poger, Rosenblum, and et al, located in St. Louis, Missouri. Respondent Oppenheimer & Co., Inc. ("Oppenhe

NASD Regulation, Inc., Award In the Matter of Arbitration Between Richard J. Coleman, Jr., Claimant, and No. 97-02888 Edward D. Jones & Co., Respondent. REPRESENTATION OF PARTIES Claimant, Richard J. Coleman ("Coleman") was represented by Wade Hutto, Esquire, of Llano, Texas. Respondent, Edward D. Jones & Co. ("Edward Jones") was represented by Lawrence R. Goldberg, Esquire, of Goldberg, Katz, Sadowski & Croft, PC, located in St. Louis, Miss

AWARD > i NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Charlotte A. Chamberlain v. Arbitration No. 97-02887 Name of Respondents Wedbush Morgan Securities, Inc. and Edward Wedbush REPRESENTATION For Claimant: Jonathan W. Evans, Esq. Law Offices of Jonathan W. Evans Los Angeles, California For Respondents: Terry Ross, Esq. Keesal, Young & Logan Long Beach,

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02884 Leo Bomchoff, claimant vs. Coleman and Company Securities, Inc., respondent. ATTORNEYS: For Claimant appeared Ira Scot Meyerowitz, Esq., of the law firm, Littman Krooks Roth & Ball P.C.,New York, NY. For Respondent appeared Catherine A, Helwig, Esq., of the law firm, Snow Becker Krauss P.C., New York, NY. DATE FILED: June 9, 1997. CASE SUMMARY: C

AMENDED AWARD NASD Dispute Resolution In the Matter of the Arbitration Between: Names of Claimante Buster Brock, Individually, Buster Brock, as Custodian of his IRA Account, Bemard Collett, Individually, Bernard Collett, as Custodian of his IRA Account, Lester Couch. Individually, Lester Couch, as Custodian of his IRA Account, James M. Hacker. Individually. James M. Hacker, as Custodian of his IRA Account, Isaac Holland, Individually, Isaac Ho

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Mark A. Angelo vs. Case No. 97-02883 Name of Respondents Pasquale Pasani Investors Associates, Inc. REPRESENTATION For Claimant Mark A. Angelo ("Claimant") appeared Andrew Giles Freda, Esq. of the firm Freda & Druz, L.L.C., located in Teaneck, New Jersey. For Respondent Pasquale Pasani ("Pasani") appeared Eric Ross, Esq. of the firm Law Offices

AMENDED AWARD NASD Regulation, Inc. la die Matter of foe Aibitcatioii Between AlanKhig » Names of Reguomlenl!^ Cbades Sdmnib ft Ooinpaflat, loe. James Sh^gsr 97-02752 TATiaW FwOaimaix: PBtii± A. Davis, Esq. cTPatilckA. Davis, P.A., Oearwater, Flodda. For RespdndentK Steven Lmum, Esq, of Charles Schwab ft Cosqnny, Dae. ("Schwab"), San Ftandsoo, CaHfomia. CASE INFORMATION Statemeot of Claim filed: Jime 3, i997. Qafanant'a SiiTwiissin

NASD REGULATION, INC, AWARD In the Matter of the Arbitration Between Name of Claimants Adrienne Cohen Janis Rebold Case No. vs. 97-02882 Name of Respondents Sovereign Equity Management Co. Easton Blake Jeffrey Supinsky David Stetson REPRESENTATION For Claimants Adrienne Cohen ("Cohen") and Janis Rebold ("Rebold") (collectively "Claimants") appeared Frank J. Evangelist, Esq., of the law firm Ormsten & Evangelist, located i