Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Catamarca, Inc., Claimant v. Kirlin Securities, Inc. and Sidney Bolivar, Respondents. Case Number: 98-04708 Hearing Site: San Diego, Califomia For Claimant: REPRESENTATION OF PARTIES James R. Ballard, Esq. Kennerson, Schwartz, Semerdjian & Haile San Diego, Califomia For Respondents: Patrick N. Keegan, Esq. Krause & Kalfayan San Diego, Califomia CASE INF

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-04702 Michael I. and Bambi Z. Good, Custodians for Amara L. Good and Riana R. Good, claimants vs. Robert D. Peterson; Bennett, Mullaney & Co., Inc.; and National Financial Services Corp., respondents. ATTORNEYS: Claimants appeared Pro Se., Brookline, MA. Respondent, Robert D. Peterson, appeared Pro Se., West Chatham, MA. Respondent, Bennett, Mullaney & Co.

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Peter Wright, Claimant vs. Monique Bogdan and Salomon Smith Bamey, Inc., Respondents. Case Number: 98-04699 Hearine Site: San Francisco, CA RF.PRKSKNTAT10N OF PARTIFii Claimant, Peter Wright, hereinafter referred to as "Claimant": In Pro Per, 1243 Rousseau Drive, Sunnyvale. CA 94087. Respondents, Monique Bogdan ("Bogdan") and Salomon Smith Bamey, Inc., ("Salomon Smith Bamey"): Joa

Award NASD Dispute Resolution, Inc. In the Matter of die Aibitration Between Name of Clayifiams. Kadiie Dallas Sharon Roberts Case No. 98-04696 Name of Rcsnondent A.G. Edwards & Sons, Inc. REPRESENTATTON OF PAWTTRS Gaimants Kathie Dallas ("Dallas") and Sharon Roberts ("RohetXs") were represented by Bradley J. Washburn, Esq., located in Clayton, Missouri. Respondent A.G. Edwards & Sons, Inc. ("A.G. Edwards") was rqiresenied by Phyllis .\.

AWARD NASD Regulation, Inc. CASE: 98-04689 Ken Mazzie, claimant vs. Glenn Karant and Morgan Stanley Dean Witter, respondents. ATTORNEYS: Claimant appeared Pro Se. Wayne. NJ. For Respondents Glenn Karant and Morgan Stanley Dean Witter appeared Debra A. Roth, Esq. New York, NY. DATE FILED: December 9, 1998 CASE SUMMARY: Claimant alleged that respondent Glenn Karant recommended highly speculative and volatile investments in oil drilling stock, whic

AWARD NASD Regulation, Inc. 98-04692 In tbe Matter of the Aibitration Between WaTng yf rii^|niftnt BlueStone Capital Partnets, L.P. Nayies of Resnondent^ Greg T. Jeffeis Jeffiey B. McGovcni G.T. Jeffers & Co. Nyme nf Third-Party Pf-< p< ;i^y^pnt BlueStone Capital Management, Inc. BBPRESENTATION For Claimant BlueStone Capital Panneis, L.P. ("Bluestone Capital") and Third-Party Respondent BhieStone Capital Management, Inc. ("Bhiestoa

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Jeremy Bell, (Claimant) vs. Morgan Stanley Dean Witter, Stephen DiModica, and Richard Baiaes, (Respondents) Case Number: 98-04684 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Jeremy Bell, hereinafter referred to as "Claimant": Leslie Trager, Esq., Morley and Trager, New York, NY. Previously represented by: Hyman Silverglad, Esq., a sole practitioner

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: David R. Templeton, (Claimant) vs. Charles Schwab & Co., Inc., (Respondent). Case Number: 98-04680 Hearing Site: San Francisco, Califomia. REPRESENTATION OF PARTIKS David R. Templeton hereinafter collectively to as "Claimant": Karl R. Molineux, Esq., Smith, Merrill & Peffer, San Ramon, Califomia. Charles Schwab & Co., Inc. hereinafter referred to as "Respondent": Julie A. Kole, Esq.,

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Wayne Freeman (Claimant) v. Citigroup Global Markets Inc. f/k/a Solomon Smith Barney Inc. (Respondent) Case Number: 99-03891 Hearing Site: Cleveland, Ohio Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant Wayne Freeman hereinafter referred to as "Claimant" appeared pro se. Respondent, Citigroup Global Markets Inc. f/k/a Solomon Smith Barney hereinaft

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Rafael and Susan Golan Case No. 98-04674 Name of Respondent JPR Capital Coloration REPRESENTATION OF PARTIES For Claimants: Laurie Bolch, Esq. of Laurie Bolch, P.A., Boca Raton, FL. For Respondent JPR Capital Corporation ("JPR"): Hay ward Richard Pressman, Esq. of Pressman & Associates, New York, NY. CASE INFORMATION Statement of Claim filed on or about December 8, 1998