AWARD NASD Regulation, Inc. CASE: 97 - 02044 The Trust of Kenneth R. Anderson & Arlyce J. Anderson, claimant vs. La Croix Alexander Financial Corp, respondent. ATTORNEYS: For claimant appeared Kenneth R. Anderson - Elk Grove Village, IL Respondent did not appear DATE FILED: 4/7/98 CASE SUMMARY: Claimant alleged breach of fiduciary duty, misrepresentation and omission of material facts in the sale of a private offering. Claim Data Award Data

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-02043 Benjamin Ritter Trust, claimant v. J.W. Charles Securities Inc and Norman Robbins, respondents. ATTORNEYS: For claimant appeared Mitchell L. Perlstein, Esq. - Boca Raton, FL. For respondents appeared Gregory Tendrich, Esq. - Boca Raton, FL. DATE FILED: 4/23/97 CASE SUMMARY: Claimant alleged misrepresentations and omissions, breach of contract, ne

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Cannata Family Trust, (Claimant) vs. Kensington Wells, Inc., Patrick Lofaro, Steven Orandello, Michael Newman, Adam Levy, Kevin Loomis, Steven Vornea, Marc Luxenberg, Andrew Mayer, Elias Tacher and Salvador Tacher, (Respondents). Case Number: 97-02042 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimant, Cannata Family Trust, hereinafter referred to as "Claimant": Scott

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Edward D. Jones & Company and Case No. 97-02041 Name of Respondent David M, Cass REPRESENTATION OF PARTIES For Claimant: Lawrence R. Goldberg, Esq., Goldberg, Katz, Sadowski & Croft, P.C., St. Louis, Missouri. For Respondent: David M. Cass c/o Merrill Lynch, Pierce, Fenner & Smith CASE INFORMATION Statement of Claim

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Raymond Robert Jones- Eileen Jones, Mark Brannan. and Tonya Brannan, Claimants. v. No. 97-02036 OLDE Discount Corporation, and Mitchell A. Ronco, Respondents. REPRESENTATION OF PARTIES Claimants Raymond Robert Jones. Eileen Jones, Mark Brannan, and Tonya Brannan ("Claimants") were represented by Laurence S. Schultz. Esq. of Driggers. Schultz & Herbst located in

AWARD NASD Regulation. Inc. Office of Dispute Resolution In the Matter of ihe Arbitration Between Name of Claimant Charles Thurman and . 97-02034 Name of Respondent U.S. Clearing Corp.. Lombard Brokerage, Inc.. Dean Witter Discover and Co.. Morgan Stanley, Dean Witter Discover & Co.. and Discover Brokerage Direct, Inc. REPRESENTATION OF PARTIES Charles Thurman ("Claimant") appeared pro sc Dean Witter Discover and Co. and Morgan S

NASD REGULATION. INC., OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant fs) Dennis Franchini Arbitration No. 97-02032 Name of Respondent f s) Sterling Foster & Co., Inc. Matthew C. LaPiana Adam Lieberman Craig L. Kellerman Frank Monroig REPRESENTATION For Claimant: Jerry C. Carter, Esq., Jenkins & Frey, Reno, Nevada For Respondents Sterling Foster & Co., Inc. and Adam Lieberman: Joseph D'

NASD REGULATION. INC. In the matter of the Arbitration Between Name of Claimant fs) Joseph Najdek, Margaret Sono, Craig Sono, Najdek Produce, Inc., Fresh Water Farms , Inc . , Joseph Najdek as Custodian for Joseph Najdek, Jr., Kristin Najdek, Kasia Najdek and Thomas Najdek, Molly Sono Arbitration No. 97-02030 Name of Respondent Grove Securities, Inc. David Grove David Grove, Jr. REPRESENTATION For Claimants: Christoph

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Edwin Benjamin, (Claimant) vs. TD Waterhouse Investor Services, Inc., (Respondent) Case Number: 00-01961 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant Edwin Benjamin, hereinafter referred to as "Claimant", appeared pro se. Respondent TD Waterhouse Investor Services, Inc., hereinafter referred to as "Respondent": April M. Chung, Esq., Theodore A. Krebsbach

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between E*Trade Securities, Inc. and Bernard H. Butts, Jr. Case No. 00-00227 Boca Raton, Florida For Claimant: For Respondent REPRESENTATION OF PARTIES John K. Rubiner, Esq. Bird, Marella, Boxer & Wolpert Los Angeles, California David H. Brodie, Esq. Mandel, Weisman, Kirschner & Brodie, P.A, Boca Raton, Florida CASE INFORMATION Statement of Claim filed on or