N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00498 Richard A. Colan, claimant v, Mark Trykowski and Sovereign Equity Corporation, respondents. ATTORNEYS: For Claimant Claimant appeared pro se - Ashtabula, OH. Respondent Mark Trykowski appeared pro se. - Chicago, IL. For respondent Sovereign Equity Corporation appeared Richard A. Coian - Boca Raton, FL. DATE FILED: 1/30/97 CASE SUMMARY: Claima

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Robert R. Mangum, Claimant Vs. AXA Advisors, LLC (formerly EQ Financial), Respondent. Case Number: 00-01759 Hearing Site: Dallas, Texas REPRESENTATION OF PARTIES E. Glenn Gidel, Esquire, Attorney At Law, Fort Worth, Texas represented the Claimant, Robert R. Mangum, hereinafter referred to as "Claimant". Thomas R. Cox, of Miller, Canfield, Paddock and Stone,

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION, INC. CASE: 00-00209 Edmund F. McGIinn, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se., Lafayette Hills, PA. Respondent appeared through its Compliance Manager, Bob Salvador, Menlo Park, CA. DATE FILED: January 19, 2000 CASE SUMMARY: Claimant alleged respondent failed to execute a buy order for 180 shares of DIR placed on May 26, 1999. ARBITRATOR'S REP

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Bernard and Maureen McDaniel, (Claimants) vs. Michael Davis, Bear Stearns & Co., Inc. and Bear Steams Securities Corp., (Respondents) Number- 97-00497 Hearing Site: Boston, Massachusetts REPRESENTATION OF PARTIES Claimants, Bernard McDaniel ( M B. McDaniel") and Maureen McDaniel ("M. McDaniel"), hereinafter collectively referred to as "Claimants": Jonathan Kord Lageman

AWARD NASD REGULATION. INC. JWFLCE OFDISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant Jeffrey A. Katz Name of Respondents Arbitration No. 97-00486 Investors Associates, Inc., Herman Epstein, David Sayid, Imran Hussain, Richard O'Reilly, Prudential Securities, Inc., David Murray and Lawrence Penna REPRESENTATION For Claimant: For Respondents Investor's Associates, Inc., Herman Epstein, David Sayid, David Mu

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Dain Bos worth. Incorporated. Claimant, v. No. 97-00485 Paul Renard. Respondent. REPRESENTATION OF PARTIES Claimant Dain Bos worth. Incorporated ("Claimant") was represented by Ronald P. Kane, Esq. and Linda A. Gallagher. Esq. of Gombcrg Kane < fe Fischer. Ltd. located in Chicago, Illinois. Respondent Paul Renard ("'Respondent*') was represented

"JUN. 9.1998 9 = 28fiM NASD REGULATION FL NO. 977 P. 4 N.A.S.D. AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Names Case No. 97-004«4 Harry A, Pearl and AanaKittay Stoever Glass & Co. Inc. Hal Grodzins REPRESENTATION For Claimants Harry A. Pearl ("Pearl 11 ) and Anna Krttay ("Kittay"): Gary J. Greenberg, Esq. of New York, NY. For Respondents Stoever Glass & Co., Inc. CStbeve

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Louise T. Standing and 97-00482 Name of Respondent Prudential Securities Incorporated Louise T. Standing ("Claimant") was represented by Daniel P. Taber, Esq., Minneapolis, Minnesota. Prudential Securities Incorporated ("Respondent") was represented by Patrick GafFney, Esq., Prudential Securities Incorporated, New York, New York.

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 97-00476 Steven Sinitch, claimant v. Olde Discount Corporation, respondent. ATTORNEYS: For Claimant Claimant appeared pro se - Coral Springs, FL. For Respondent appeared in-house counsel, Julie D. Reed, Esq. - Detroit, ML DATE FILED: 1/29/97 CASE SUMMARY: Claimant alleged respondent overcharged on his purchase of stock in American Phoenix Group, Inc. and

NASD REGULATION, INC. AWARD 97-00475 In the Matter of the Arbitration Between Name of Claimant Kirsten Christina Nelson LoBrutto Name of Respondents Myerberg & Company, LLP Marcia Myerberg REPRESENTATION For Claimant Kirsten Christina Nelson LoBrutto ("Claimant") appeared Simon I. Allentuch, Esq., of the law offices of Pollack & Greene, LLP, located in New York, New York. For Respondents Myerberg & Company, LLP ("Myerberg & Co.") and Mar