AWARD NASD REGULATION. INC.. OFFICE OF DISPUTE RESOLUTION In the matter of the Arbitration Between Name of Claimant^ Larry Tarquinio Name of Respondent(s) Investors Associates, Inc. Herman Epstein Gregg Becker George Malagon, Jr. Richard Preisig Doug Mangan William Cutrone Glenn Lavender v. Arbitration No. 97-00383 REPRESENTATION For Claimant: James J. Sullivan, Esq. Novato, California For Respondents

NASD AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimants Ronald L. and Patricia M. Zimmerman 97-00379 Name of Respondents Dean Witter Reynolds Inc. Mitchell James Omar REPRESENTATION Claimants Ronald L. and Patricia M. Zimmerman ("Claimants") were represented by Dennis R. Villavicencio, Esq. of the Law Offices of Lawrence John Allen, Carlsbad, CA. Respondents Dean Witter Rey

N.A.S.D. REGULATION AWARD NATIONAL ^SSQCIATlOfif QF SECURITIES DEALERS fiEGTJLATIQN, INC. CASE: 97-00371 Jiramie R. Lee, claimant vs. State Capital Markets Corp. and Damien Douglas, respondents. ATTORNEYS: Claimant appeared Pro Se., Burke, VA Respondents State Capital Markets Coip. and Damien Douglas did not respond to the Statement of Claim, DATE FILED: January 23, 1997. CASE SUMMARY: Claimant alleged unauthorized trading of stocks and warrants in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00370 J-G Mold and Engineering Co., claimant v. Dickinson & Co., respondent. ATTORNEYS: For Claimant appeared James A. Laure - Vicksburg, MI. For Respondents appeared Barbara Bennett, Esq. - Des Moines, IA. DATE FILED: 1/23/97. CASE SUMMARY: Claimant alleged misrepresentations and omissions regarding the sale of stock. Claim Data Claim: $2,701.02 p

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 97-00369 Robert E. Jacobson and Bernard Kraft, claimants v. GKN Securities Corp. and Carl Wiseman, respondents. ATTORNEYS: Claimants appeared pro se - Towson, MD. For Respondents appeared Katherine Nathan, Esq. - New York, NY. DATE FILED: 1/23/97 CASE SUMMARY: Claimants alleged unauthorized trades in warrants and stocks in Robern Industries, Inc. Clai

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Jerry Chappel, Craig A. Wallace, Kenneth Eskew, J. Brett Ponchione, Barry J. Robbins, Zane G. Buckman, Gerald Catalano, Barry Rightman, Robert Klinger, Christopher Barron, Thomas Callan, Lyman C. Shipley, Jr., Floyd E. Damschen, Greg Howe, Gary S. Kluck, Bob G. Fairchild, Alan C. Ivar, Bryan E. Decker, Shan F. Afcharieh, Gregory C. Adams, Harald Mynster, Robert Erlich, Allan C. Howard,

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Jeffrey Aliard NASD CASE NO. 97-00368 Name of Respondents Scott Redler and Millennium Securities Corp. REPRESENTATION The Claimant appeared pro se. For Respondents Scott Redler ("Redler") and Millennium Securities Corp. ("Millennium"); Debra M. Snyder, Esq., General Counsel for Millennium Securities Corp. CASE INFORMATI

NASD Regulation, Inc. AWARD In the Matter of the Arbitration Between Name of Claimant Paul Cook and Falcon Communications Corp. and 97-00365 Name of Respondent The Harriman Group, Inc. a/k/a HGI Mark A. Hanna Michael S. Cardello Angelo Bosco Bernice L, Lemer Brian D. Scanlon Shane T. Ferras Stephen C. Palumbo Joseph J. Tuozzo Scott H. Follett REPRESENTATION OF Paul Cook and Falcon Communications Corp. ("Claimants") we

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of an Arbitration between: Robert Joseph Hyttenhove NASD No. 97-00364 Claimant,, v. William Nunziato, Craig S. Redding, Steven D. Sugumele, Jawahar Keshavlal Doshi, Eric Jay Aronson, Paul Steven Sattlef Howard Brett Berger and Landmark International Equities, Inc. Respondents. REPRESENTATION OF PARTIES Claimant Robert Joseph Hyttenhove, was represented by Thomas A

SENT BY: 6-14-99 ;11:40AM I NASD ARBITRATION DPI- 12122087581 ;#22/31 N.A.SJX REGULATION AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant / Counter-Respondent Piper Jaffray, Inc. 97-00360 Name of Respondent / Counter-Claimant Said A. Javidi Name of Third Party Rpgflqndents Terry G.Fefl,Jr Peter Bessette Kathrine Higdon REPRESENTATION OF PARTIES For Piper Jaffray In