Award of Dismissal NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Josephthal & Co., Inc. vs. Case No. 98-05031 Robert J. Shapiro REPRESENTATION OF PARTIRS Claimant Josephthal & Co., Inc., hereinafter referred to as "Claimant": Brian J. Neville, Esq., Josephthal & Co., Inc., New York, New York Respondent, Robert J. Shapiro, hereinafter referred to as "Respondent", appeared/7ro se. CASE INFORMATION Statemen

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gregory Evan Demaray and 98-05030 Name of Respondents Ameritrade Jon David Dreith Timothy Lee Keninger REPRESENTATION OF PARTIES Gregory Evan Demaray ("Claimant") was represented by Leny K. WaIlen-Friedman,Esq., Wallen- Friedman Law Office, Minneapolis, Miimesota. Ameritrade ("Respondent Ameritrade") Jon David Dreith ("Respondent Dreith") and Timoth

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Michael P. Monson Case No. 98-05021 Hpflring .Site: Milwaukee, Wisconsin Mi>mPr>fPp«ipr>nHpnt Banc One Securities Corp. Claimant Michael P. Monson ("Monson") was represented by James A. McGurk, Esq., of the Law Offices of James A. McGurk located in Chicago, Illinois. Respondent Banc One Securities Corp. ("Banc One") was represented by Michael N. linger, Esq., of the

Award NASD Regulation, Inc. In the Matter of the Attitration Between: First of Michigan Corporation vs. Brian J. Rener Case NMnnber: 98-5020 Hearing Site: Detroit, Michigan Claimant, First of Michigan Corporation, hereinafter referred to as "Claimant": Marco DeSanto, Esq.. Warner. Norcross and Judd, Southfield, Michigan. Respondent. Brian J. Rener, hereinafter referred to as "Respondent": pro se. Statement of Claim filed on or about: December 31.1998

Stipulated Award NASD Dispute Resolution, Inc In the Matter of the Aibitration Between: Name of Claimant: licht-Technik Limited Case No: 98-05017 Names of Respondents: Merrill Lynch, Pierce, Fenner & Smith, Inc. and Miguel Andres Ballestas Hearing Site: Boca Raton, Florida For Ucht-Technik Limited ("Licht-Technik"), hereinafter referred to as "Claimant": Melanie Cherdack, Esq. of Genovese Lichtman Joblove & Battista, P.A., Miami, Eorida.

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Names of Claimants Kevin R. Meyer Susan Meyer Case No. 99-03814 Names of Respondents Whale Securities Co., L.P. Paul Andrew Giordano Richard Kittelstad GunnAllen Financial, Inc. REPRESENTATION OF PARTIES For Kevin R. Meyer ("K. Meyer") and Susan Meyer ("S. Meyer"), hereinafter collectively referred to as "Claimants": Stephen D. Spivey, Esq. of the Law Of

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between: Salomon Grey Financial Corporation (Claimant) vs. Kenneth R. Lauher, Amir A. Yuzaryand Alex Makarovsky, (Respondents). Case Number: 00-01161 Hearing Site: Dallas, Texas consolidated with 00-02552 Amir A. Yuzary, Kenneth R. Lauher and Alex Makarovsky vs. Salomon Grey Financial Corporation, Michael Fraser, Lee M. Solomon, Jr. and James Broady. REPRESENTATION OF PARTIES

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Bishop, Rosen & Co., Inc., (Claimant) vs. The Chapman Co., (Respondent) Case Number: 98-05015 Hearing Site: New York, NY REPRESENTATION OF PARTIES Claimant, Bishop, Rosen & Co., Inc., hereinafter referred to as "Claimant": Martin S. Siegel, Esq., Berlack, Israels & Liberman, LLP, New York, NY. Respondent, The Chapman Co., hereinafter referred to as "Respondent": John T. Prisbe, Es

Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Gail M. Freeman NASD Case No. 98-05014 Hearing Site: Charlotte, North Carolina Names of Respondents A.G. Edwards & Sons, Inc. Albert L. Stallmgs Clay L. Grumke Benjamin F. Edwards, III Earl Laing David M. Sisler William S. Jones REPRESENTATION OF PARTIES Claunant, Gail M. Freeman ("Freeman"), hereinafter referred to as "Claimant", appear

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: Donald and Bemadine Lange. Claimants vs. Olde Discount Corporation and John Dougherty, Respondents. Case Number: 98-5013 Hearing Site: Detroit. Michigan REPRESENTATION OF PARTIES Claimants, Donald and Bemadine Lange, hereinafter referred to as "Claimants": Anthony V. Trogan, Esq., Weisman, Trogan & Schloss, P.C. Bingham Farms, Michigan. Respondents, Olde Discount Corporation ("Old