N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC. CASE: 99-02291 Vishnu H. Sujanani, claimant vs. Josephthal & Co., Inc., respondent. ATTORNEYS: Claimant Vishnu H. Sujanani ("Claimant"), appeared Pro Se., St. Petersburg, FL. For Respondent Josephthal & Co., Inc. ("Respondent"), Brian J. Neville, Esq., Josephthal & Co. New York, NY. DATE FILED: May 18, 1999 CASE SUMMARY: Claimant alleged that Respondent recommended

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SUJUm'lUS DEALESS In tibe Matter of the Arbitration Between & Smith, Inc. vs. 90-03400 Name of Respondent (a) R. Jc For daiaant: Dave Lenny, Esq., Law Office of Howard Meyers, 26147 Kenrose Circle, O1«hnnnn, CA 91302 For Respondenti Jamas R. Jones, Esq., 401 Civic Center Drive Nest, Santa Ana, CA 92701 Statanent of nnlm filed: Virrabrir 3, 1990 dainont's {?** 1 " l> **MriiTi Agreeamt

N.A.S.D. AWARD NKTIOOL ASSOCXKCXCN OP StLUUTltS In the Matter of tba Arbitration Betiieen of Fiances M. Epler, Trustee for Frances M. Spier Trust 90-03390 Smith Barney Harris Dpham & Oo., Inc. John For Claimant, Frances M. Epler Trust ("dainant") : Stewart of Luper, Nolinetz, Sheriff & Neidenthal. Miller Jack L. For Respondent, Smith Barney Harris Dfiham 6 Oo., Inc. ("Smith Barney*) : Paul K. Barenholtz, Vice President, Law Depar

w.A.s.n. M«BD Artntraaon ^^ _ ^^ National i NATIONAL ASSOCIATICN OF jjtf'XJP 1 ' 1 ' 11 ^ DEALERS SacurttlM OeaMra. IT. NASD Finance! C«n« m the Matter of the Arbitration Between 33 Whrtehai Strom New York. N.Y. 10004 of ^., FAX(212J858-4389 Rosalind Walla and Alfred ITodJurgn 90-03321 of Rum «1 > lents FSC Securities Corporation Richard L. Jaffee For Claimants PnTTiIJTVl Wells ^VH Alfred ITuJjuiijIi ("daiuBnt

N.A.S.D. AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Name of Tcnmie L. Page 90-00478 Name of Respondent ( s ^ Westport Financial Group Jerry Stein Robert M. Fehrman STMMAHY In a statement of claim filed with the NASD on or about February 14, 1990, Claimant Tommie L. Page ("Page") alleged that he agreed to purchase 1000 shares of Southland Communication cannon stock at 10 1/4 per share and

Arbitration NATIONAL ASSOCIATION OF SECURITIES DEALERS in the Matter ot the >*u:L>±u:a< -±on B3z.**ata\ Name of Claimants Robert E. & Marguerite Ifclntyre vs Name of Leon Okurowski U.S. Boston Capital Corporation National Association of S*curitiM Dtatore, Inc. NAS.O Financial Center 33 Whitehall Street fju^ Vnrlr »J«»w fork 10004 90-00149 For Claimants: Thomas H. Tucker, Esq. of McGowan Engel Tucker Garrett & Schultz .

NATIONAL ASSOCIATION OP SECURITIES DEALERS In the Matter of the Arbitration Between James D. Heffner Claimant(a) vs. 88-00388 Kenneth G. Schave, Jr. and Hamilton Bohner, Inc. HOTICE OF ARBITRATIOH AWARD Respondent(s) j » CASE SUMMARY Claimant (s) James D. Heffner alleged that Respondent (s) Kenneth 6. Schave, Jr. and Hamilton Bohner, Inc. failed to execute a sell order on a timely basis. Respondent (s) did not submit an answe

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Allan K. Holt Claimant(s) vs. Tabrokerage Inc. Respondent(s) NOTICE OF ARBITRATION AWARD 88-00348 The Arbitrator, Larry J. Dagenhart, Esq., selected to review and determine a matter in controversy between the above-mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on July 1, 1988 and March 23, 1988,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between Harris Securities, Inc. Claimant(s) vs. 88-00338 Donna E. and John Linyard TEN in Common Respondent(s) AWARD The Arbitrator, Larry J. Dagenhart, Esq., having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the claimant on January 27,

NATIONAL ASSOCIATION OF SECURITIES DEALERS In the Matter of the Arbitration Between[ Mary F. Farrier Claimant(s) vs. 88-00259 Fidelity Investments Respondent(s) AWARD The Arbitrator, Justin S. Morrill Esq., having been selected to review and determine a matter in controversy between the above- mentioned Claimant and Respondents, set forth in a submission to arbitration signed by the parties on January 20, 1988 and March 2, 1988, resp