NASD REGULATION, INC. AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Whale Securities Co., L.L.P. Case Number and 97-01602 Name of Respondent Raymond Godfrey, Jr. Third Party Respondent Victor Greene REPRESENTATION OF PARTIES For Whale Securities Co., L.L.P. ("Claimant") appeared David S. Richan, Esq., of Tenzer Greenblatt, LLP, located in New York, New York. For Raymond Godfrey, Jr. ("G

REVISED AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants James A. and Joanne M. Gammon 97-01601 Name of Respondents Paine Webber, Inc. James C. Cole, IV REPRESENTATION For Claimants James A. and Joanne M. Gammon ("Claimants"): John H. Quinn, Jr., Esq., Eric J. Edwardson, Esq., Robin Duncan Culbertson, Esq. of the law firm of Quinn, Racusin & Gazzola, Chartered, Washington, D.C. For Respondents Pa

N.A.S.l). REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INX\. CASE: 97-01591 Neil H. Bader. individually and as Trustee under the Neil H. Rider Revocable Trust; Nancy L Bader. individually and as Trustee under ihe Nancy L. Bader Tiiist dated 9/20/90. claimants vs Wall Street Money Center Corp.. Inc. and Peter Bruno, respondents. ATTORNEYS; For Claimant appeared Mitchell L. Perlstein, Esq.. of the firm Investors* Law Center P.A.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Frank Hudson and Colleen Hudson, Claimants. v. No. 97-01585 Otde Discount Corporation and Jeffrey Votruba, Respondents. REPRESENTATION OF PARTIES Claimants Frank Hudson and Colleen Hudson ("Claimants") were represented by Anthony V, Trogun. I'-sq. of Weisman. Trogan. Young & Schtoss. I*.C. located in Bingham Farms. Michigan. Respondents Okie

N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claiman{ Relda Lanz 97-01574 Name of Respondents/Third-Part Claimants Royal Alliance Associates, Inc.; Gary Krat; ALI Equipment Management Corporation; All Capital Corp.; Z Square G. Partners II Name of Third-Party Respondent Donald Denton REPRESENTATION For Claimant: Relda Lanz was represent

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Max Marx Color & Chemical Co. Max Marx Color & Chemical Employee Plan 97-01553 Name of Respondents Bateman Eichler, Hill Richards, Inc. John G. Kinnard & Company, Inc. Kemper Securities, Inc. Milton R. Barnes Texas Capital Securities REPRESENTATION For Claimants Max Marx Color & Chemical Co. ("Max Marx") and Max Marx Color & Chemical Employ

NASD Regulation, Inc., Award In the Matter of Arbitration Between JaleD.Kilgore,M.D. Claimant, and No. 97-01549 Davis & Jennings, Inc., Larry V. Davis, Marek Ast, Respondents. REPRESENTATION OF PARTIES Claimant, Jale D. Kilgore, M.D., ("Kilgore,") was represented by Bradley W. Foster, Esquire of Locke Purnell Rain Harrell of Dallas, Texas. Respondent, Marek Ast, ("Ast") was represented pro se during these proceedings. CASE INFORMATION

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-01900 Richard D. Nunis, Claimant vs. Merrill Lynch Pierce Fenner & Smith, Inc., Respondent. ATTORNEYS: Claimant, Richard D. Nunis, ("Claimant"), appeared Pro Se., Newport Beach, CA. Respondent Merrill Lynch Pierce Fenner & Smith, Inc. ("Respondent"), appeared through its in-house counsel Peter Bon Viso, Esq., New York, NY. DATE FILED: May 5, 2000 ~~ CASE SUMMARY: Claimant alleged t

OCT. 31. 1998 a:08PM NRSD REGULflTION FL NO.^g P . UX13 N.A.S.D. REGULATION, INC. AWARD NASD Regulation, Inc., OfRc* of Dispute Resolution In the Matter of the Arbitration Between Nftmat Matthew Houston, Sr. and Janie Houston, 97-01544 Kama* of Respondents Pershing Division of Donaldson Lufldn & Jcnrette Securities Winston, Rodgers & Otalvaro, Inc. Carlos E. Otalvaro For ClaimanU; Howard A. Tescher, Esq. of Kipnis Tescher Uppman

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claima.,,. Thomas Langer vs. Case No. 97-01535 Name of Respondent Shamus Group REPRESENTATION Claimant Thomas Langer ("Claimant") appeared pro se. For Respondent Shamus Group ("Respondent") appeared Marcus A. Sanders, Esq., Counsel to the Shamus Group. Respondent did not appear at the hearing in this matter. CASE INFORMATION Claimant's Statement of Claim