£ r •j '•' N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02373 H.F. Jack Aldridge claimant vs. First American Equities Inc., respondent. ATTORNEYS; For Claimant Claimant appeared Pro Se. - Little Rock, AR. For Respondent appeared Stephen B. Edds - Clearwater, FL. DATE FILED: 5/12/97 CASE SUMMARY: Claimant alleged failure to pay compensation. Claim Data Award Data Claim: $4,050.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02372 Gail Elbek, claimant v. Stephen Parker, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Santa Barbara, CA. For Respondent appeared Douglas S. Flaherty - New York, NY. DATE FILED: 5/12/97 CASE SUMMARY: Claimant alleged bad investment advice concerning the purchase of common stock. Claim Data Award Data Claim: $7,033.64 Award

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants) Joan T. Campagna, Individually and as Trustee for the Joan T. Campagna and Alan S. Markle Revocable Trust v. Name of Respondents) H. J. Meyers & Co., Inc. James Gregory Arbitration No. 97-02369 For Claimant: For Respondent; REPRESENTATION Hugh J. Cadden, Esq. San Rafael, California Stephen C. Voris, Es

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Burton Bonnan v. - - Arbitration No. 97-02363 Name of Respondents Schroder Wertheim & Co., Inc. Robert H. Litter Robert Fisher Leslie Murphy Andrew M. Homick Dennis Cronin Mark R. Grewe REPRESENTATION For Claimant: Eric John Witmeyer, Esq. Law Office of Eric John Witmeyer Los Angeles, California

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Walter L. Spelman Case No.97-02358 Names of Respondents Sterling Foster & Co., Inc. Mat Gilmer Adam Richard Lieberman Albert Benjamin Vespoli Craig Lawrence Kellerman Louise Anne Boscaino REPRESENTATION OF PARTIES For Claimant: Stephen D. Spivey, Esq., Ocala, Florida. For Respondents Sterling Foster & Co., Inc., ("Sterling") and Adam Richard

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Alvin Wilson 97-02352 o esondents Greenway Capital Corporation Alan Mandel REPRESENTATION For Claimant Alvin Wilson ("Claimant") appeared David H. Zimmer, Esq., a sole practioner located in Potomac, Maryland, For Respondent Greenway Capital Corporation ("Greenway") appeared Fred Luthy, in-house representative for Greenway Capital located in New York, New York.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: John M. Dilworth, (Claimant) vs. Walnut Street Securities, Inc., (Respondent) Case Number: 97-02348 Hearing Site: Pittsburgh, Pennsylvania REPRESENTATION OF PARTIES Claimant, John M. Dilworth, "Claimant": Russell J. Ober, Esq., Meyer Unkovic & Scott, LLP, Pittsburgh, Pennsylvania. Respondent, Walnut Street Securities, Inc., "Respondent": Bradford D. Kaufman, Esq., Steel Hector & D

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02344 Yuriy and Elena Pavlov, claimant v, GKN Securities Corp. and Third Party Respondent. Dmitri V. Kardonski, respondents. ATTORNEYS: For Claimant Claimants appeared pro se - New Providence, NJ. For Respondent GKN Securities Corp. appeared Herbert Sontz - New York, NY. For Third Party Respondent Dmitri V. Kardonski appeared Cirino M. Bruno, Esq. - New Yo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01983 Mark R. Bard, Claimant vs. Wit Capital Corporation, Respondent. ATTORNEYS: Claimant, Mark R. Bard, ("Claimant"), appeared Pro Se., New York, NY. Respondent Wit Capital Corporation, ("Respondent") appeared through its in-house counsel, Christopher J. Mahon, Esq., Deputy General Counsel, New York, NY. DATE FILED: May 12, 2000 " CASE SUMMARY: Claimant alleged that Respondent all

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Reynolds Yatcr v. Name or' Respondent Sulro &L Co.. Inc. Arbitration No. 97-02340 For Claimant: For Respondent: Statement of Claim tiled: REPRESENTATION Dennis R. Villavicencio. Esq. Law Offices of" John Lawrence Allen Carlsbad. California Gilbert R. Scrota. Esq. Douglas A. Wimhrop. Esq. Howard.