10/15/98 THU 15:05 FAI NASD REGULATION @OD2 AWARD NASD Regulation, Inc. Office of Dispute Resolution la the Matter of the Arbitration Between Name of Claimants Chris Eberle and Theodore Eberle and 97-02500 Name of Respondent Ross, Sinclaire & Associates, Inc. Robert S. Clarke REPRESENTATION OF PARTIES Chris Eberle and Theodore Eberle ("Claimants") were represented by Robert A, Klingler, Esq., Cincinnati, Ohio, Ross, Sinclaire & Assoc

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02498 Mark Rutledge IRA, claimant v. Eric Moe, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Lynden WA. For Respondent appeared Gregory B. Lipsker, Esq. - Spokane, WA. DATE FILED: 5/16/97 CASE SUMMARY: Claimant alleged unauthorized trading and failure to correct the transaction in the trading of common stock. Claim Data Award Data

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02495 PT Discount Brokerage, claimant v. William Andreozzi, respondent. ATTORNEYS; For Claimant appeared Thomas P. Ward, Esq. - Chicago, IL Respondent appeared pro se - Johnston, RI. DATE FILED: 5/16/97 CASE SUMMARY: Claimant alleged respondent created a debit through the misuselof shares. Claim Data Claim: $9,935.00 Interest: at the rate of 8.25%

NASD REGULATION, INC. OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration ) CASE NO. 97-02483 Between ) ) STIPULATED AWARD BENEDICT GILANO, ) Claimant, } and ) CRUTTENDEN ROTH INC., ARNOLD ) KRAUS AND JOHN WEBER, ) Respondents. ) ) REPRESENTATION For Claimants: Audwin Carey Spence, Esq. 10401 South Van Ness Avenue Inglewood, CA 90303-1712 For Respondents: John R. Loftus, Esq. Keesal, Young & Logan 400 Oc

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of the Arhiiraiion iknwecu Name oJ'Claimant Janet McC'auIey and 97-02480 Name of Respondent Michael Slavin RFPKKSFM ATION OF PARTIKS Janet McCaiiley ("Claimant") \vas represented by Gregory L. Wilmes. Ksq., Wilines tt Associates, Minneapolis. Minnesota. Michael Slavin {"Respondent") was represented by Terrenee J, Iteming, list;., [.indquisi & Vermum. P.L.I..P.. Minnea

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bernd Fink, (Claimant) vs. Merrill Lynch, Pierce, Fenner, & Smith, Inc., Raoul A. Garf, Ernst F. Lust and, Sonja Muller (Respondents). Case Number: 97-02468 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Bemd Fink "Claimant": Dorothea W. Regal, Esq., Hoguet Newman & Regal, LLP, New York, New York. Respondents. Merrill Lynch, Pierce Fenner, & Smith, Inc. ("Merr

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Leonid and Barbara Hambro 97-02466 Name nf Respondents Cortlandt Capital Corporation Alan Mandel REPRESENTATION For Claimants Leonid and Barbara Hambro ("Claimants") appeared Claimant Leonid Hambro pro se. Respondent Cortlandt Capital Corporation ("Cortlandt") did not enter an appearance in this matter. Respondent Alan Mandel ("Mandel") appeare

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Howard Greenberg 97-02465 Name of Respondents Bear Stearns & Co., Inc. Bear Stearns Securities Corp. REPRESENTATION For Claimant Howard Greenberg ("Claimant") appeared Leslie Trager, Esq. from the firm Morley and Trager located in New York, New York. For Respondents Bear Stearns & Co., Inc. and Bear Stearns Securities Corp. (referred to collectively

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02464 Kyle W. Pulliam, claimant vs. Rondo Hosang and Norfolk Securities Corp., respondents. ATTORNEYS: Claimant appeared Pro Se, Martinez, GA. Respondent Rondo Hosang is deceased according to notification received from the Post Office, and is therefore removed as a respondent. Respondent Norfolk Securities Corp, did not respond to the Statement of Claim, D

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01999 Kenneth Wankowski, Claimant vs. Global Financial Group, Inc, Steven Saltare, and Darren Silverman, Respondents. ATTORNEYS: For Claimant, Kenneth Wankowski ("Claimant"), appeared Paul R. Erickson, Esq., Milwaukee, WI. For Respondents Global Financial Group, Inc., Steven Staltare and Darren Silverman (collectively, "Respondents"), appeared Michael H. Ference, Esq., and Sameer R