N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-01223 Charles Schwab & Co. Inc., claimant vs. Mayfair Group Inc., and Brett Hirsch, respondents. ATTORNEYS: For Claimant Charles Schwab & Co. Inc., appeared Linda A. Gallagher, Esq., Gomberg Kane & Fischer, Ltd. Chicago, Illinois. Respondents Mayfair Group, Inc. and Brett Hirsch "collectively" did not respond to the Statement of Claim. DATE FILED: 03/16/99

NASD REGULATION, INC. AWARD In the Matter of the Arbitration Between Name of Claimants Myer H. Evans Helen U. Evans 99-00351 Name of Respondents Klein Maus and Shire, Inc. Michael Gross REPRESENTATION For Claimants Myer H. and Helen U. Evans ("Claimants") appeared Richard F. Market, Esq., of the law firm Whitman Breed Abbott & Morgan LLP, located in New York, New York. Respondent Klein Maus and Shire, Inc. ("Klein") did not enter an

Award NASD Regulation, Inc. In the Matter of the Arbitration Between: B.J. Dotson and Joyce Supina, (Claimants) vs. Foster Jeffries Securities, LLC, Frederick J. Hentschel III and Marcus A. Ramos, (Respondents). Case Number: 99-00147 Hearing Site: Houston, Texas REPRESENTATION OF PARTIES Claimants, B.J. Dotson ("Dotson") and Joyce Supina ("Supina"), hereinafter collectively referred to as "Claimants": P. Kevin Leyendecker, Esq., Moriarty & Associate

AWARD NASD, Regulation, Inc., Office of Dispute Resolution In the matter of the Arbitration Between NASD Regulation, Inc. No. 96-01162 Claimants Robert G. Hatfield Sarah J. Hatfield vs. Respondents Investment Centers of America, Inc. Kevin M. Dunnigan REPRESENTATION OF PARTIES For Claimants: John G. Crist, Esq., Dorsey & Whitney LLP, Billings, Montana For Respondents: William O. Bronson, Esq., James, Gray, Bronson & Swanberg, P.C

Award NASD In the Matter of the Arbitration Between: Name of the Claimant Clarence B. Weil Name of the Respondent Prudential Securities, Inc. Case Number: 00-01066 Hearing Site: Boca Raton, Florida REPRESENTATION OF PARTIES For Clarence B. Weil, hereinafter referred to as "Claimant": Orrin R. Beilly, P.A., West Palm Beach, Florida. For Prudential Securities, Inc., hereinafter referred to as "Respondent": Marissa D. Kelley, Esq., Gree

NASD REGULATION AWARD In the Matter of the Arbitration Between Name of Claimant Patricia D. Eagan 96-00988 Name of Respondents Raymond, James & Associates, Inc. Investment Management & Research, Inc. Russell Laubinger REPRESENTATION For Claimant, Patricia D. Eagan ("Claimant") Anthony P. Alessi, Esquire from the firm of Concannon Law offices, located in Marshfield, Massachusetts. For Respondents, Investment Management & Research, Inc. ("

NASD DISPUTE RESOLUTION AWARD NASD DISPUTE RESOLUTION CASES: 03-1134 and 03-1135 Kenneth Vilcheck, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. Philip H. Brice, Claimant v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney Inc., Respondent. ATTORNEYS: For Claimants, Kenneth Vilcheck and Philip H. Brice (collectively "Claimant"), appeared Thomas L. Stephenson, Esq., of the firm Nexsen Pruet Jacobs &

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 03-00709 Mark B. Lohman Names of the Respondents Hearing Site: Tampa, Florida Morgan Stanley Dean Witter Dean Guntner Nature of the Dispute: Customer vs. Associated Person and Member. REPRESENTATION OF PARTIES For Mark B. Lohman, hereinafter referred to as "Claimant": Stephen D. Spivey, Esq., Ocala, Florida. For Respondents Morgan St

AWARD NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimant Paul Hope and 99-01193 Name of Respondents Everen Securities, Inc. n/k/a First Union Securities, Inc. Dennis Oltorik REPRESENTATION OF PARTIES Paul Hope ("Claimant") was represented by Harvey A. Richman, Esq., Cincinnati, Ohio and William Flynn, Esq., Strauss & Troy, Cincinnati, Ohio. Everen Securities, Inc. n/k/a First Union Securities, Inc. ("Responde

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 99-02985 Flora L. Crisostomo, claimant vs. E*Trade Securities, Inc., respondent. ATTORNEYS: Claimant Floro L. Crisostomo ("Claimant"), appeared Pro Se., Reynoldsburg, OH. For Respondent E*Trade Securities, Inc. ("Respondent"), Bob Salvador, Senior Compliance Analyst, E*Trade Securities, Inc. Menlo Park, CA. DATE FILED: June 29, 1999 CASE SUMMARY: Claimant all