Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Carlin Equities Corporation, (Claimant) vs. Refco Securities, LLC, (Respondent) vs. Interpacific Capital Fund, Ltd., Interpacific Capital Management, LLC, and Thomas Taylor (Third-Party Respondents) vs. Syed Abbas Ali Shah (Fourth-Party Respondent) Case Number: 00-01862 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Carlin Equities Corporation, hereinafte

NASD Regulation, Inc. Report of the Arbitrators In the Matter of the Arbitration Between Name of Claimant Michael P. Lewis 97-01293 Name of Respondent Bear Stearns & Company During the course of the arbitration hearing in the above captioned matter, the undersigned arbitrators were presented evidence and testimony by the parties which called into question the "selling away" activities of David Manning Fresne. The undersigned arbitrators request that

N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution in the Matter of the Arbitration Between Name of Claimants ** G. Thomas Waddle and Cara Waddle 97-01292 Name of Respondents LT Lawrence & Co., Inc.; and Anthony Minervini REPRESENTATION For Claimant: G. Thomas Waddle and Cara Waddle ("Waddle") were represented by Thomas P. Ward, Esq., of McBride Baker & Cole, located in Chicago, Illinois. For Respondents: LT Lawrence & Co.

NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between Forrest L. Gibson Case No. 97-01290 Names of Re^ondents Rob Schumacher, Dennis Vavasis, Bill Cutrone and investors Associates, Inc. F RTIES For Claimant: Eric A. Lanigan, Esq., Winter Park, Florida. For Respondent Rob Schumacher: Jay Marc Israel, Esq. of the law firm of Wexler & Burkhart, P.C., Mitchel Field, New York. For Respondents Bill C

NASD Regulation, Inc., Award In the Matter of Arbitration Between Samuel J. Lee, II Claimant, and No. 97-01288 R. Seelaus & Co., Inc., Respondent. REPRESENTATION OF PARTIES Claimant, Samuel J. Lee, II ("Lee") was represented by John Timothy Byrd, Esquire of Houston, Texas. Respondent, R. Seelaus & Co., Inc., ("Seelaus'*) was represented by Morgan W. Bentley, Esquire of Newark, New Jersey. CASE INFORMATION Claimant, Lee's Statement of

NASD REGULATION, INC. AWARD Case No. 97-01281 In the Matter of the Arbitration Between Name of Claimant Mark Toutain Barnes of Respondents Arthur Gunning Paul Fiorini William Joseph REPRESENTATION Claimant Mark Toutain ("Claimant") appeared pro se. For Respondent Arthur Gunning ("Gunning") appeared Ron Levy, Esq. of the law firm Gusrae, Kaplan & Bruno located in New York, New York. Respondent Paul Fiorini ("Fiorini") appeared pro

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION* INC. CASE: 97-01280 Paragon Capital Coiporation, claimant v. Edwin Ting, respondents. ATTORNEYS: Claimant appeared pro se - New York, NY. Respondent did not appear. DATE FILED: 3/12/97 CASE SUMMARY: Claimant alleged breach of promissory note. Claim Data Award Data Claim: 4,413.97 Award: $4,312.27 Interest: $264.00(6%) Interest: $.00 Punitive: $.00 Punitive

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Richard A. Madura, Claimant v. Ameritrade, Inc., Respondent Case Number:. 99-03669 Hearing Site: Los Angeles, California REPRESENTATION OF PARTIES For Claimant: David J. Cowan, Esq. Law Office of David J. Cowan Los Angeles, California For Respondent: James A. Ricketts, Esq. Ameritrade, Inc. Bellevue, Nebraska CASE INFORMATION Statement of Claim filed: Aug

/ i n M \J U J AWARD NASD REGULATION INC . OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants! Timothy G. Shanahan v. Arbitration No. 97-01279 Name of Respondent^ Olson Payne & Co., Inc. Bradley Murdock REPRESENTATION For Claimant: John Lawrence Alien, Esq., Carlsbad, California For Respondent Olsen Payne & Co.: Conrad C. Lysiak, Esq., Spokane, Washington Respondent Bradley Murdock rep

N.A.SJ). REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-01278 Richard Wilkes, claimant vs. Norfolk Securities Corporation, respondent. ATTORNEYS: Claimant appeared Pro Se, Big Spring, TX. Respondent did not respond to the Statement of Claim. DATE FIT ED: March 18, 1997 CASE SUMMARY: Claimant alleged that respondent sold his Lo Jack stock and purchased JJFN Services stock without his knowledge and consent. C