Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Allan Hagio and Toyoko Hagio, (Claimants) v. Shamus Group, Inc., Shamus Venture Capital Group, L.P. n/k/a Bishop Allen, Inc., Vincent P. DeGracia, Greg A. Pollowitz, First Metropolitan Securities, Inc., Andrew M. Koch, and James P. Sheehan, (Respondents) Case Number: 99-01324 Hearing Site: Chicago, Dlinois RKPRFSENTATTON OF PARTIES Claimants Allan Hagio and Toyoko Hagi

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between n Plaimant RBC Dain Rauscher Inc. Case No. 01-05035 p Gary L. Nickel Hearing Site: Oklahoma City, Oklahoma RFPRFSFTMTATTO\ Claimant RBC Dain Rauscher Inc. ("Dain Rauscher") was represented by Eric Moutz, Esq. of the firm of Dorsey & Whitney UP, located in Minneapolis, Minnesota. Respondent Gary L. Nickel ("Nickel") was represented by Ryan C. Harper, Esq., of the

AWARD NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Gregory Law and 99-00024 Minneapolis, Minnesota Name of Respondents Dain Rauscher, Inc. Inter-Regional Financial Group, Inc. n/k/a Interra Financial Corporation Donald Melton REPRESENTATION OF PARTIES Gregory Law ("Claimant") was represented by Stephen W. Cooper, Esq. and Stacey R. Everson, Esq., Cooper Law Firm, Minneapolis, Minnesota.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: FIRST OF MICHIGAN CORPORATION, Clainnant, v. JAMES P. HALL, Respondent. Case Number: 98-3679 Hearing Site: Detroit, Michigan REPRESENTATION OF PARTIES Claimant, First of Michigan Corporation ("FOM"), hereinafter referred to as "Claimant": Michael P. Coakley, Esq., and Kimberiy A. Paulson , Esq., Miller, Canfield, Paddock and Stone, P.L.C., Detroit, Michigan. Respondent, James P. H

\.\SI) RH.l l.\ll"\. INC MUM l..\l!.|i ..-..XUl) In the Matter of the Arbitration Between Name of Claimani GKN Securities, Inc. vs. Case No. 98-02704 Name of Respondent John Fitzgerald REPRESENTATION For Claimant GKN Securities ("Claimant") appears^ Harry Frisch, Esq., of Lubiner & Schmidt located in Kenilworth, NJ. For Respondent John Fitzgerald ("Respondent") appeared Dan A. Druz, Esq. a sole practitioner with an office located in

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-02636 Lloyd J. Milburn, IRA claimant vs. Dean Witter Reynolds. Inc.. and Pmdential Securities. respondents. ATTORNEYS: Claimant Lloyd J. Milburn. appeared Pro Se and, through Robert C. McEligot. CPA. of the firm. Calegari and Morris, Accountants, San Francisco. California. For Respondent Dean Witter Reynolds. Inc. appeared in-house counsel, Janet T. Esptein. E

N.A.S.D. REGULATION AWARD CASE: 98-02180 Richard M. Roth, claimant vs. A.S. Goldnoen & Company and Thomas E. Foti. respondents. ATTORNEYS: Claimant Richazd M. Roth ("Claimant") appeared Fro Se,, New York. New York. For Respondent A.S. Goldmen & Company ("Goldmen"), appeared Carole R. Bernstein, Esq., Westpott, Connecticut. For Respondent Thomas E. Foti ("Foti"), appeared David E. Robbins, Esq., Kau&nann. Feiner, Yamin. Gilden & Robbins. New York, New Yo

AWARD N.ASD Regulation, Inc. In ihc Matter of the Ail;iti.i:;o:i B;'i\'.ec:i Naine^f Claimant(s) American Express Financial Advisors, Inc. 98-02051 Name of RespondentCsl Mark D. Hughes REPRESENTATION For Claimant American Express Financial Advisors, Inc. ("Claimant"): Keith Beauchanip, Esq., of Lewis and Roca LLP, Phoenix, Arizona. For Respondent Mark D. Hughes ("Respondent"): Respondent appeared on his own behalf CASE INFORMATTON St

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Guy Muro, Claimant vs. Quick &. Reilly, Inc., Elaine Webley, Chris Ferguson, Respondents. Case Number: 98-01563 Hearing Site: New York, New York For Claimants Guy Muro ("Muro"): Adolph Seltzer, Esq., with offices in New York, New York. For Respondents Quick & Reilly, Elaine Webley ("Webley"), and Chris Ferguson ("Ferguson"): James Hall, Esq., Morgan, Lewis & Bockius. LLP, Miami, Florida.

NASD REGULATION, INC. AWARD NASD Eitinlation, Inc., Office of Dispute Resolution In the Marter of die Arbitraticm Between Nan:- of Claimants Vincent k. Bany and Helen R. Barry NASD CASE NO. 98-00334 Peter Miiphy and Interstat i 'Johnson Lane REPRESENTATIOyif For Cla rriants: Vincent A. Barry appeared pro se. For Resf nndents Peter Murphy ("Murphy") and Interstate/Johnson Lane Corporation ("DL"): Pamela P. Wanie.-nent, Esq., Depu^ General Cou