NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimant Myong H. Shin 97-02596 E*Trade Securities, Inc. REPRESENTATION Claunant Myong H. Shin ("claunant") appeared pro se. For respondent E^Trade Securities, Inc. ("respondent") appeared Tamiko Moore, Esq., Attorney/Compliance Analyst for respondent. CASE INFORMATION Statement of Claim was filed on: May 20, 1997. Claimant's Submission Agreement was signed on

NASD. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant A.G. Edwards & Sons, Inc. Nqme (yf Respondent Gordon A. Boemer 94-04303 REPRESENTATION For Claimant: Clay L. Grutnke, Esq. of AG. Edwards & Sons, Inc. located in St. Louis, MO. For Respondent: Paul J. YanefF, Esq. of YanefF& Cosgrove located in Sioux City, lA. CASE INFORMATION The Statement of Claim was filed on or about Octob

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Norman P. Mamber 94-04302 Name of Resoondentfs) Olde Discount Corporation RFJ^RESENTATION Claimant Norman P. Mamber appeared pro se. For Respondent Olde Discount Corporation: Julie Reed, Esq. in-house counsel at Olde Discount Corporation. ' ' CASE HISTORY Statement of Claim filed on: October 17, 1994. Claimant's Submission Agreement sig

N.A.S.P. AWARP IMATTONAT. ASSOCIATIQN OF SECIJRITTFS DEAI.RRS. TNr In the matter of the Arbitration Between Name pf Claimants John R. and Dawn L. Lashley Name of Respondent Stratton Oakmont, Inc. NASD Arbitration No.94-04301 REPRESENTATION For Claimants: Stanton Cole, Esq., Seattie, Washington For Respondent: Michael GiUnore, Esq., Wexler & Burkhart, P.C, Mitchel Field, New Yoric CASE INFORMATION Statement of Claim filed: October

NA8J). AWARD NATIONAL ASSOCIATION OF SECURniES DEALERS. INC. In ttie matm of flue AiUixaiion Between WmeofClaimantfs) Reaee Missd. Maiy Goldberg and Roger L. Sinion V. Name of Regpondentfa) Pnidcntial SecnrilMS, Inc., Dean Wdtn R^DOIds, Inc. aod Soitt R l d ^ NASDArbimtJon N0.944H299 For Claimant: For Respondent: BEBBBSEWTATION John L. AUen, Esq. Law OfiBCBB of John Lawience Allen Carbbai, Cdifbfnia Curt H

N.A.S.D. AWARD NATIONAL ASSnCTATTON OF SPrTIRTTTRS DKAT.ERS. INC. In the matter of the Arbitration Between Namenfriaimant Diane C. Wade NASD Arbibation V. No. 94^04298 Name of Respondent _ La Joila Securides Corporation V. Marvin Susemihl RRPRRSKNTATTON For Claimant: Patrick N. Keegan, Esq., Krause & Kalfayan, San Diego, Califoniia For Respondent & Third-Party Claimant: Richard R. Leuthold, Esq., San Diego, California For Third-P

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Claimant Case Number: 01-04381 Betty F. Behrens Respondents Hearing Site: Chicago, Illinois F.F.P. Securities, Inc., Shawn Kramlich d/b/a Elmbrook Financial Services, Inc., and F.F.P. Advisory Services, Inc. REPRESENTATION OF PARTIES Claimant Betty F. Behrens ("Behrens"): Erwin Cohn, Esq. of the firm Cohn & Conn located in Chicago, Illinois Respondents F.F.P. S

NASD REGUU^TION, INC. AWARD Office of Dispute Resolution OURINVEST CAPITAL, INC., Claimant, vs. Case No. 94-04296 PRUDENTIAL SECURITIES, INC., a Delaware corporation, and RONALD A. KAUFLER, an individual. Respondents. REPRESENTATION For Claimant Ourinvest Capital, Inc. ("Ourinvest"): Steven E. Hartz, Esq. and David R. Carlisle, Esq. of the law firm of Akennan, Senterfitt & Eldson, P.A.. SunTrust Intemational Center, One Southeast Third A

NASD Arbitration No. 94-04293 NATIONAL ASSQCIATIOM OF SECURITTB.q nf!AT,ERS. INC. In the matter of the Arbitration Between Name of Claimant(ai George Leuiey and Relva Laney Name of Respondent(s) G. Earl Lloyd, II Richards Investments MtPBBaniTATIQM For Claimsmts: John P. Mullen, Esq., Anderson & Karrenberg, Sailt Lake ritv. ataii For Respondents: No appeareuaee at hearing. CAflg TMyOBMATrnW Statement of Claim filed: October 13, 1

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECtmiTIES DEALERS In the Hatter of the Arbitration Between Manie of Claimant Carl A. Liner Name of Respondents Smith Barney Shearson, Inc. Alex Brown & Sons Inc. John J. Flading 94-04285 REPRBBBliTATIOH For Claimant Lt. Col. (Ret'd.) Carl B. Liner ("Claimant"): Janet K. DeCosta, Esq., Law Offices of Janet K. DeCosta, P.C, Washington, D.C. Respondent Lehman Brothers, inc. ("Lehman Brothers")