N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-01593 Elizabeth Jean Teefy, claimant vs. Aegis Investments, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se - Minneapolis, MN. Respondent appeared Pro Se through its President, Linda L. Ingle - Minneapolis, MN DATE FILED: March 31, 1997 CASE SUMMARY: Claimant alleged misrepresentation regarding his investment in Palm Beach Bond. Claim Data Award

r\l\Lf NASD Reulation. inc. Oiiicc orDiuit; Rcsoiuuun in lilt; iviaiici ui'iiie Aibiiiaiiuit Between N'tttnc i^'-CIa i 1 via ni Donald L. Johnson and 97-01592 Name of Respondent Global Financial Group, line. Donald L. Johnson ("Claimant") was represented by Charles" Clayton, Esq., Minneapolis, Minnesota. Global Financial Group, Inc. ("Respondent") was represented by Cece Luikens, Global Financial Group, Inc., Minneapolis, Minnesota, During the c

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE:00-01902 Robert Ramey and Annegret Ramey JT TEN, claimants vs. Charles Schwab & Co., respondent. ATTORNEYS: Claimants appeared Pro Se, Santa Barbara, CA. For Respondent appeared Amir Tadjedin, Esq., in-house counsel, San Francisco, CA. DATE FILED: May 5, 2000 CASE SUMMARY: Claimants alleged that respondent failed to notify claimants of the differing execution prices associated with pur

NASD Regulation, Inc. Award NASD Regulation, Inc. Office of Dispute Resolution In the matter of arbitration between Prudential Securities Incorporated, Claimant/Counterrespondent No. 97-01571 v. Richard P. Stern, Respondent/Counterclaimant REPRESENTATION OF PARTIES Prudential Securities Incorporated ("Prudential") was represented by Steven P. Gomberg, Esq., Gomberg Kane & Fischer, Ltd., 208 South LaSalle Street, Suite 1800, Chicago, Illinois

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants The Estate of Doris Thomas Kim Cornelius 97-01558 Name of Respondents Prime Capital Services, Inc. Robert Ryerson REPRESENTATION For Claimants The Estate of Doris Thomas ("Thomas") and Kim Cornelius ("Cornelius* 1 ) (collectively "Claimants") appeared Mitchell H. Corbert, Esq., a sole practitioner with offices in Morristown, New Jersey.

NASD Regulation, Inc., Award In the Matter of Arbitration Between Edward V. Smith, III, Claimant, and No. 97-01557 Sterling Foster & Co., Inc., Adam Lieberman, Craig L. Kellerman, Frank J. Monroig, William E. Scuteri, Donald L. Turney, Michael P. Finn, and Edmond P. Heeney, Respondents. REPRESENTATION OF PARTIES Claimant, Edward V. Smith, HI, ("Smith,") was represented by James R. Marlen, Esquire of Dallas, Texas. Respondents, Sterli

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Benjamin B. Cavallo 97-01548 Name of Respondent Gruntal & Co., Inc. REPRESENTATION For claimant Benjamin B. Cavallo ("claimant") appeared Clifford S. Hochman, Esq., of the law firm of Hochman & Nugent, P.C., located in Mansfield, Massachusetts. For respondent Gruntal & Co., Inc. ("respondent") appeared Evan J. Charkes, Esq., Assistant General Counsel for Gruntal

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-01541 Dean Witter Reynolds Inc., claimant vs. James C. Amato, respondent. ATTORNEYS: For Claimant appeared Thomas J. Hanrahan, Esq. - Glen Rock, NJ. Respondent did not appear. DATE FILED: 3/27/97. CASE SUMMARY: Claimant alleged debit balance in respondent's brokerage account. Claim Data Award Data Claim: $4,344.08 Award: $4,344.08 Interest: Request

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Legg Mason Wood Walker, Inc. 97-01539 Name of Respondent Lawrence P. Driscoll REPRESENTATION For Claimant Legg Mason Wood Walker, Inc. ("Claimant") appeared Donald J. McCartney, Esq., with law offices in Columbia, Maryland. For Respondent Lawrence P. Driscoll ("Respondent") appeared Thomas F, Gibson, Esq., with law offices in Cambridge, Massachusetts.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. In the Matter of the Arbitration Between Name of Claimant Davenport & Co. of Virginia, Inc. 97-01530 Name of Respondents Ellen Hundstrup Horace H, Custis Name of CounterClaimant Horace H. Custis Name of Counter Respond em Davenport & Co. of Virginia, Inc. REPRESENTATION Davenport & Co. Of Virginia, Inc. ("Claimant") was represented by Mahlon G.