N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Alan M. Siiberberg 97-01954 Name of Respondent LT Lawrence & Co., Inc. REPRESENTATION Claimant Alan M. Siiberberg ("Claimant") appeared pro se (or by counsel??). Respondent L.T. Lawrence & Co., Inc.("Respondent") was represented by Ruthann G. Niosi, Esq., New York, NY, CASE INFORMATION The St

N.A.S.D, AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS ta die Matter of the Arbitration. Between Name j George Hodgson 97-01946 Name of Respondents Jamas Henry Livingston Securities America, Inc. REPRESENTATION For Claimant: Jeffrey P. Coleman, Esq. of The Coleman Law Firm, Qearwater, Florida, For Respondents: Katherme C Lake, Esq. of Fowlet, White, Gillejj, Bpggs, Vfflareal And Banker, P. A,, Tampa, Florida. CASE INFORMATION

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: U.S. Bancorp Piper Jaffray Inc., (Claimant) vs. First Union Securities, Inc., Nelson J. Olds, Richard A. Joines and Michael R. Perry, (Respondents). Case Number. 00-01949 Hearing Site: Seattle, Washington REPRESENTATION OF PARTIES U.S. Bancorp Piper Jaffray Inc. : Steven M. Phillips, Esq. Fmth & Anthony Minneapolis, Minnesota. First Union Securities, Inc., Nelson J

AWARD NASD REGULATION. INC. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant The Community Trust v. Name of Respondents Titan/Value Equities Group, Inc., Ron Berg, and Joy Young Arbitration No. 97-01940 REPRESENTATION For Claimant: For Respondents: Richard Sacks Investors Recovery Service Novato, California Frederick Rafeedie, Esq. Jones, Bell, Abbott, Fleming & Fitzgerald

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between of Claimnt Sohail Zaiter Case No. vs. 97-01932 Name of Respondents First United Equities Corporation James Pellizzi REPRESENTATION For Claimant Sohail Zaiter ("Claimant") appeared Philip M. Giordano, Esq., of the law offices Giordano & Champa, P. A., located in Boston, Massachusetts. For First United Equities Corporation ("First United") appeared Jay Marc Israel, Es

"DEC.29.1998 NftSD REGULATION Fl. -186 P. NA.S.D. REGULATION, INC- AWARD NASD Regulation, Inc., Office of Dispute Resolution In the Matter of the Arbitration Between William N. and Dcbby Jotham 97-01931 Michael L. Vogt Sterling Foster & Company, lac. REPRESENTATION For Claimants: Richard W. Groncr, Esq. andSteeteT. Williams, Esq. ofGronerandScheib, Sarasota. Florida. ' For Respondent Sterling Foster & Company, IDC, ("Sterling")

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Shriki Jhaveri 97-01930 Name of Respondents Euro-Atlantic Securities, Inc. George M Matarazzo Fred Eugene Plan Robert J. Carlin REPRESENTATION Claimant Shriki Jhaveri ("Jhaveri") appeared pro se. Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic") did not enter an appearance in this matter. Respondent George M. Matarazzo ("Matarazzo"

N.AJ5 JX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES pirT.lgttS REGULATION. INC. CASE: 97-01929 John Maher, claimant v. A.S. Goldmen & Company, Inc. , Louis Lombard! and James Marino, respondents. ATTORNEYS: Claimant appeared pro se - New Milford, CT. For Respondent A.S. Goldmen & Company, Inc. appeared Carole R. Bernstein - Norwalk, CT. For Respondent Louis Lombard! and James Marino appeared Foster J. Gibbons, Esq. - New York, NY. DATE

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01927 Charlie T. Brown a/c/f Amelia E. Brown, claimant vs. Piper Jaffray Inc, respondent. ATTORNEYS: Claimant appeared Pro Se. - Boise, ID. For respondent appeared Mark S. Reed, Esq. - Minneapolis, MN. DATE FILED: 4/16/97 CASE SUMMARY: Claimant alleged negligence in mailing out monthly statements. Claim Data Award Data Claim: $3,026.09 Award: $.00

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01926 Richard A. Hayes. Trustee/Richard A. Hayes. Jr. Trust, claimant v.v Olde Discount Corporation, respondent. ATTORNEYS: Claimant appeared Pro Se, Fountain Hills, A7.. For Respondent, appeared in-house counsel, Julie D. Reed, Esq., Detroit. Ml. DATE FILED: April 16. 1997 CASE SUMMARY: Claimant alleeed that although he indicated a preference lor "short s