N.A.S.D. AWARD NATIONAL .ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimantfs'> Jeffrey Howe Chryl Howe vs. 91-02699 Name of Resnondentfs) American Savings And Loan .AGFC Securities. Inc. Kinney Smuh. m William Stringer REPRESENTATION For Claimants: Richard L. Solomon, Esq., Los Angeles, Califomia For Respondent American Savings And Loan: No Appearance For Respondent AGFC Securities, I

N.A.S.D. AWARD NATION.AL .ASSOCIATION OF SECURITrES DFALERS In the Matter of the Arbitration Between Name of Claimanrfsl Andrew M. Stein and .AMS Investment Corporation NASD .Arbitration No. 91-02655 Name of Respondent(s) Jeffery E. Modesitt, Jan B lev ins, MLB Investment Corporation, Pittock Financial Corporation, and Venture Trading Inc. REPRESENTATION For Claimant: In Pro Se For Respondent; Jeffery Modesitt: In Pro Se

iLA.S.a. AWABD NATTOTJAT AssnrrATrnN OF ^iFommFj; DEALERS In the Matter of the Aibhratioa Between Namp fif riiinnnii Anchonjr P.Uribe, as aanEiiee of Vicente GuermiD Alduna Merrill Lynch Pierce Fenner & Smith, iac Stephen Scfatraiz RJchaidE. Gross NASD Arbitration No. 91-02595 RCTUFSFNTATTON For Claimant: Scotc L. Metzger, Esq and Leslie S. Akins, Esq. - Dokor SC Spradling - San Diego. Califomia For Respondent: Merrill Lynch

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURmES DEALERS In the Matter of the Arbitration Between Name of Claimants Andrew & Johanna Cohen 91-02511 Name of Respondents Cowen & Company Whale Securities Company. L.P. Michael Woloshin REPRESENTATION Claimants Andrew and Johanna Cohen ("Claimants") were represented by: Seth E. Lipner. Esq. of the law firm of Deutsch & Lipner. Respondents Whale Securities Co.. L.P. ("Whale") and Michael Wo

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION. INC. CASE: 01-05019 David Bergman, claimant vs. Raymond, James & Associates, Inc. and Angelo Masut, Jr., respondents. ATTORNEYS: Claimant appeared pro se, Hernando, FL. For Respondents appeared John M. Norton, II, Esq., in house counsel, St. Petersburg, FL. DATE FILED: September 25, 2001 CASE SUMMARY: Claimant alleged that respondents palce him in unsuitable investments and failed to disclos

N.A.S.O. AWAB D HAEnCNAL ASSOdAbnCN OP SfeUJKTTIES DESOSEiS In the Matter of tha Axialtzatlcn BetNea ^m^o^dai^^ William E. 2tellink vs. NASD #91-02343 gne^^|egoood^bs Gazy CEOSS Sbeazsoa rrrihwm Bitten JUUMfflaraenni For daisBDt: O. Dldcana, Eaq. For Saapaadaott (SfaeBZSoo): T. Sand, Eaq., Miller, Hash, Hsiser, Bager & Carlson, Portland, Oregcn. For Raepandent: (Ceoss) t Gary Gcoss Stataaant of daim filedt JUly 31, 1391

N.A.S.D. HNAL ORDER NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Claimant Eleanor C. Kennelly Case# vs. 91-02331 Name of Resoondents Randall George Corp. George Skrabonja REPRESENTATION For Claimant: Hayden BriU. Eaq, of Morgan, Melhuish, Monaghan. et zl. For Rcsriwiiijv..u3. Randall Geor^^e Coip. and Georj;.e Skrabonja: f-ioward Nas.hel, ^s'j o^ Nashes. Kates. Modaeiu. Nussrn?>n jt tJon

NJLS.D.. iOnSD MyrmnT. ^ssrcrvrmt QP SBCXSZI3SS J3EAISBS IdTtfaa Matter: ofi: tha Azbitzation 91r0231T Faaxdaimantv -Brigandi,. Jazthacy-E: .Blvlzziano,. Brotfaaca, Inc.. (: s. F; igf-nainrf-tlerl JUlx 2fi, 19911 ' a^ Suznlsalon jmy 22;. 1991^ 5; 1S91. r7r.:i99i; :tfaBt ia-tha fS^TrrrViteriim $5>00Q.00: ITa.'$10; 000:00 withil 1987; .sbBrsnBehaaed.:.500.00 tfaat a. 1 Igpldatad-nl" any,-tiina.

N.A.S.D. ANARD NA!n[CNAL ASSOCZA!nCN OF manmi'l'l'BR DEALEIRS In the Matter of the Azbitzaticn Betageen ^g^^^ajb^nt Jilllan Gabriel Case # vs. 91-02302 ^mejo^^^^ondaots Merrill Lynch Pierce Fenner & anith Znc John Polanshek Chaurles Rbfiaan Jean 0* Sullivan Far Claimant, JlUian Gabriel: Kso se. For Respondents, Merrill Lynch Pierce Fenner & Stadth, Loc., John Polansbsk, Charles Xbfinan and Jean O'Sullivant R. Alan Paul, Eaq. of P

N.A.S.D. AWARD namosoiL ASSOGBITICH OF SECDRITHS DEALERS In, the Matter of tha Azbitraticn Between tfame of Claimant (s) Gayle Maine ann I^itt Maine & Maine loc 91-02235 Name ofi Resoondent (s) PrwdentiaJ. -Barhft Securities Zjoc. David Hume Roc W. Fish For Claimant: For Respondeat: LionffT Z. Glancy, Esq., Beverly Hills, Dean Witter Refynolds David Hume Roc W. Fish: Kurt Mjeller, Esq., Dean Witter Reynolds, San Rsmci