AWARD NASD Regulation Incorporated Office of Dispute Resolution * In the Matter of Arbitration Between Spring Family Trust; David, Barbara & Kenneth Spring, JTWROS; Barbara Spring; Kenneth Spring; and Marjorie Spring, Claimants, and No. 97^02 147 Principal Financial Securities, Inc.* Respondent. REPRESNTATION F Claimants, Spring Family Trust; David, Barbara & Kenneth Spring, joint tenants with right of survivorship; Barbara Spring; Kenne

N.A.S.D. AWARD •" NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant PaineWebber Incorporated 97-02145 Name of Respondent Maximiliano M. Toledo REPRESENTATION For Claimant: Stephanie Morse-Shamosh, Esq. of PaineWebber, Inc., Weehawken, NJ. Respondent Maximiliano M. Toledo appeared pro se. CASE INFORMATION Statement of Claim filed: April 30, 1997. Claimant's Submission Agreemen

AWARD NASD REGULATION, INC. In the matter of the Arbitration Between Name of Claimant Ira N. Rimer v. Arbitration No. 97-02144 Name of Respondents Everen Securities, Inc., Donald Johnson, Jeff Johnson, William Notrica and Terry Chase REPRESENTATION For Claimant: Philip M. Aidikoff, Esq. Aidikoff&Uhl Beverly Hills, California For Respondents: Paul W. Poareo, Esq. Heller, Ehrman, White and McAuliffe, P.C. Los Angeles, Calif

N.A.S.D. REGULATION, INC. AWARD CASE: 97 - 02137 Paragon Capital Corporation, claimant vs. Timothy Dabulis, respondent. ATTORNEYS: For claimant appeared Michele D. Wessel - New York, NY. Respondent appeared Pro Se. - Boca Raton, FL. DATE FILED: 4/29/97 CASE SUMMARY: Claimant alleged breach of contract with respect to expenses respondent incurred while in the employ of claimant. Claim Data Award Data Claim: $4,924.16 Award: $4,924.16 Interest

AWARD NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant The Boston Group, L.R v. Arbitration No. 97-02121 Name of Respondent The Shamus Group, Inc. REPRESENTATION For Claimant For Respondent: Eric S. Hutner, Esq. The Boston Group, L.P. New York, New York Did Not Appear CASE INFORMATION Statement of Claim filed: April 28,1997 Claimant's Submission Agre

I Award NASD In the Matter of the Arbitration Between: Name of the Claimant Case Number: 00-01970 Jo Ann Mohr Names of the Respondents Hearing Site: Tampa, FL Mark Nathan Wright Prim Securities, Inc. REPRESENTATION OF PARTIES For Jo Ann Mohr, hereinafter referred to as "Claimant": Kalju Nekvasil, Esq., Goodman & Nekvasil, P.A., Clearwater, FL. For Respondent Mark Nathan Wright ("Wright"): Harry W. Haskins, Esq., Sarasota, FL. For Res

In the Matter of the Arbitration Between Theodore Craft, and Theodore Craft C/F Courtney Craft, Claimants, -against- James B. Liberman, Oppenheimer & Co., Inc., Respondents. 97-02119 REPRESENTATION For Claimants: Theodore L. Craft, Esq. ("Craft") For Respondents: Joseph J. Sullivan HI, Esq., of CISC Oppenheimer Corp. 1 CASE INFORMATION Statement of Claim filed: Claimants* Submission Agreement Signed on: Statement of Answe

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02114 John M. McCarty, claimant v. Euro-Atlantic Securities, Inc., Eugene Cordano and Fred Plan, respondents. ATTORNEYS: Claimant appeared pro se - Sandersville, GA For respondent Eugene Cordano appeared Michael Ference - New York, NY. Respondents Euro-Atlantic Securities, Inc. and Fred Plan did not appear. DATE FILED: 4/28/97 CASE SUMMARY: Claimant al

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASH: 97-02113 Michael K. Bosworth, claimani vs. Investors Associates. Inc., respondent ATTORNEYS. Claimant appeared Pro Se, San Rafael, CA. For Respondent Investors Associates, Inc. appeared, Lawrence R. Gelber. Esq., Hackensack. NJ. DATE FILED: April 28. 1997 CASE SUMMARY: Claimant alleged that respondents engaged in high pressure sales tactics, failed to dis

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, CASE: 97-02112 Robert Troy and Carol Troy, claimants vs. State Street Capital Markets Corp. and Andrew Ruscio. respondents. ATTORNEYS; Claimants appeared Pro Se, Huntington. NY. Respondent State Street Capital Markets Corp. did not respond to the Statement of Claim. Respondent Andrew Ruseio appeared Pro Se, New York, NY. DATE FILED: April 28, 1997 CASE SUMMARY: Clai