AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Pauline Martin, individually and as Trustee for the Martin Family Trust and 97-02520 Name of Respondent Okie Discount Corporation CorevNa^el REPRESENTATION OF PARTIES Pauline Martin, individually and as Tmstee for the Marvin Family Trust ("Claimant") was represented by Jeffreys. Pagliuca. Esq.. Holland, Kaplan & Pagliuea, P.C..

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants George and Nicholas Condogeorge Case No. vs. 97-02519 Name of Respondents Investors Associates, Inc. Herman Epstein John Lynch Lawrence Penna Cedric Stanton REPRESENTATION For Claimants George and Nicholas Condogeorge ("Claimants"), Franklin D. Ormsten, Esq. located in Jericho, New York, For Respondents, Investors Associates, Inc. ("Inv

N. A.S.I). REGULATION AWARD CASt: 97-02518 Richard A. Fitzgerald, elamumt vs. Gruma! & Co. Inc., respondent. ATTORN BYS: Claimant appeared Pro Se. H. Watpole. MA. For Respondent appeared in-house counsel, Paul L. Fir/gerald. F.sq.. New York, NY DATE FILED: Mav 19. 1997, CAST: SUMMARY: Claimant alleged negligence: and churning with respect u> his account. Claimant also alleged ihat respondent made poor recommendations and did not manage it's Account

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Barbara J. Katz and 97-02517 Name of Respondents Delta Equity Services Corp., and Anatoli Nekos REPRESENTATION OF PARTIES Barbara!. Katz ("Claimant") was represented by Richard G. Himelrick, Esq., of Tiffany & Bosco, Phoenix, Arizona. Delta Equity Services Corp. ("Delta") was represented by Alan S. Baskin, Esq., of Roshka, H

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02516 Ray Pellegrino Trust, claimant vs. Robert Thomas Securities, Inc. and Frank Blazey, respondents. ATTORNEYS: Claimant appeared Pro Se, through its trustee, Ray Pellegrino, Torrance, CA, For Respondent Robert Thomas Securities, Inc. appeared in-house counsel, James D. Sallah, Esq., St. Petersburg, FL. Respondent Frank Blazey appeared Pro Se, Palos Verd

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02515 Ernest DiAIfonso, Claimant v. Ceres Securities, Inc. and Ameritrade Clearing, Inc., Respondents ATTORNEYS: Claimant appeared pro se - North Plainfield, New Jersey. For Respondent Ceres Securities, Inc. appeared Thomas J. Pleiss - Omaha, Nebraska. For Respondent Ameritrade Clearing, Inc. appeared Kurt Halvorson- Omaha, Nebraska. DATE FILED: May 27 T

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-02513 Doreen M. Zeleny, c]a;:v;a:n v. Edwn:0 O. Jones £ Co.. respondent ATTORNEYS: Claimant appeared through her accountani Richard Quaranto - East Hampton. NY For Respondent appeared Cynthia A. Doria. E.sq. - St. Louis. MO. DATE FILED: 5/19/97. CASE SUMMARY: Claimant alleged that, on respondent's recommendation, she took out two loans from the respondent

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02511 Majid Assareh, claimant v. Robert Forker, respondent. ATTORNEYS: Claimant appeared pro se - Bellevue, WA. Respondent appeared pro se - Seattle, WA. DATE FILED: 5/19/97 CASE SUMMARY: Claimant alleged he suffered loss after respondent failed to notify him thai he should convert his stock. * Claim Data Award Data Claim: $9,750.00 Award: $.00

NASD REGULATION, INC. AWARD NASP REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Robert Winston Goss v. Name of Respondents A.G. Edwards & Sons, Inc. Mark Robles Arbitration No. 97-02508 REPRESENTATION For Claimant: For Respondents: Richard P. Gerber, Esq. Hart, King & Coldren Santa Ana, California Phyllis A. Hartrich, Esq. A.G. Edwards & Sons, Inc. St.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bahrain Nourouzian, Claimant v. E*Trade Securities, Inc., Respondent Case Number: 00-02006 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: Steve A. Buchwalter, Esq. Law Offices of Steve A. Buchwalter Encino, California For Respondent: Stephen G. Frye, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California CASE INFORMATION