AWARD NASD REGULATION, INC., OFFICE OF DISPUTE RESOLUTION In the Matter of the Arbitration Between Name of Claimant Sam Orlando 97-01006 Name of Respondents Gruntal & Co., Inc.; Daniel Gierek REPRESENTATION For Claimant: Sam Orlando ("Orlando)" was represented by J. Michael Fitzsimmons, Esq., of Fitzsimmons, Roberts & Paine, located in Wheaton, Illinois. For Respondents: Gruntal & Co., Inc. ("Gruntal") was represented by Evan J. Charkes,

NASD REGULATION, INC. AWARD Case No. 97-00999 In the Matter of the Arbitration Between Name of Claimant Gordon L. Ralph vs. Name of Respondents Euro-Atlantic Securities, Inc. Robert Hines Eugene Cordano Neil Brauner REPRESENTATION For Claimant Gordon L. Ralph ("Claimant") appeared Iain Robb, of the firm Growling, Sirathy & Henderson located in Toronto, Ontario, Canada. Respondent Euro-Atlantic Securities, Inc. ("Euro-Atlantic

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00998 Olde Discount Corporation, claimant v. Jerry O. and Debra A. Barrett, respondents. ATTORNEYS: For Claimant appeared Robert S. Anderson, Esq. - Detroit, ML Respondents did not appear. DATE FILED: 2/25/97. CASE SUMMARY: Claimant alleged respondents failed to pay for purchase of common stock. Claim Data Award Data Claim: $1,157.00 Award: $1,157.00

N.A.S,D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. ^^^=^- • ^«±^^^=^^^^^^^^^^^^gsag^^=,.. ..ji. 1 "" '"=as^^^=^^=J^^^^^^^^=^^^=^^^^^^=s=============:======G=:^=^^s3===s==s=sss===sa CASE: 97-00996 Kuan Chu, Fang-Lan W. Kuo and Fang-Lan w. Kuo, IRA, claimants v. Joseph J. McCaffrey. respondent. ATTORNEYS. For Claimants Claimants appeared pro se - Demarest, NJ. Respondent appeared pro se - Whitehall, PA. D

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00994 Robert & Frances Pachinger, claimants v. State Street Capital Markets Corp. and Glenn Glazer, respondents. ATTORNEYS: Claimants appeared pro se - Knoxville, TN. For Respondent Glenn Glazer appeared Michael A. Hession, Esq. - New York, NY. Respondent State Street Capital Markets Corp. did not appear. DATE FILED: 2/25/97 CASE SUMMARY: Claimant

AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimants'* Stephen P. Joffre v. Arbitration No. 97-00993 Name of RespondentCsl James Cavaliere REPRESENTATION For Claimant: Stephen P. Joffre, in pro per, Magalia, California. For Respondent: David Parsons, Esq., New York, New York (hearing only). CASE INFORMATION Statement of Claim filed: February 20,1997 Claimant's Submis

NASD Regulation, Inc., Award In the Matter of Arbitration Between Richard L. Pyles, ft, Claimant, and No. 97*00991 A.G* Edwards & Sons, Inc., and Ran Dyson, Respondents. REPRESENTATION OF PARTIES Claimant, Richard L. Pyles, ("Pyles,") was represented by Alexander B. Mitchell, II, Esquire of Klenda, Mitchell, Austerman & Zucrchcr of Wichita, Kansas, Respondents, A.O, Edwards & Sons, Inc., ("AG Edwards,") and Ron Dyson, ("Dyson,") were rep

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Robert L. Marceaux Case No. 00-01818 Names of Respondents Fl Trading.com, Inc., f/k/a Gold Country Securities David Allen Worcester, Sr. David Allen Worcester, Jr. Charles Vaccaro John Gregory Spencer Christopher Joseph Cox REPRESENTATION OF PARTIES For Robert L. Marceaux, hereinafter referred to as "Claimant": Timothy J. O'Connor, Esq.

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Bennett J. Scharf and Leslie Scharf and 97-00990 Name of Respondent Paul N. Sewcharran REPRESENTATION OF PARTIES Bennett J. Scharf and Leslie Scharf ("Claimants") were represented by Mr. Scharf/wo se. Paul N. Sewcharran ("Respondent") appeared pro se. CASE INFORMATION The Statement of Claim was filed on or about February 25

-NOV. 9.1998 8 :S9flM NftSD REFLATION FL ^ 9?? p NASD REGULATION, INC. AWARD Office of Dispute Resolution In the Matter of the Arbitration Between of Carl Schuster as Ancillary Personal Representative of the Estate of David Joseph Bums Case No. 97-00985 Names of Reaooqflents Prudential Securities, Inc. Ivan R. Goffer* REPRESENTATION OP PARTIES For Claimant: Norman A. Peisher, Esq. of the law firm of Ruden McCtosky Smith S