N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 96-05063 Jeffrey E. Marcus, claimant v. Pacific Brokerage Services Inc., respondent ATTORNEYS: For Claimant Claimant appeared Pro Se. - New York, NY For Respondent Appeared James Kruger of Pacific Brokerage Services, Inc. - Los Angeles, CA DATE FILED: November 13, 1996. CASE SUMMARY: Claimant alleged error made in execution of option purchase. Claim D

NASD REGULATION, IMC. In the matter of the Arbitration Between Name of Claimant(si Ronald Tracy Consolidated Arbitration Case Numbers 96-05062 and 96-05255 Name of Respondent(si Dain Bosworth Incorporated RE PRE SENTATIQN For Ronald Tracy: Scott A. Shorr, Esq. and Keith A. Ketterling, Esq., Stoll Stoll Berne Lokting & Shlachter P.C., Portland, Oregon For Dain Bosworth Incorporated: Ronald P. Kane, Esq. , Gomberg Kane & Fische

N.A.SJX REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 96-05056 PaineWebber, Inc., claimant vs. Leo Ancefsky, respondent. ATTORNEYS: For Claimant appeared in-house counsel, M. Major Khan, Esq., Weehawken, NJ. Respondent did not respond to the Statement of Claim. DATE FILED: November 13, 1996. CASE SUMMARY: Claimant alleged that respondent breached the terms of the Promissory Note by failing to repay an employee fo

-DEC. 7.1998 2 : 3 0PM NASD REGULATION PL N0 . 574 N.A.S.D. REGULATION, INC. AWARD NASD Re Eulation, Inc., Office of Dispute Resolution ^ \ In the Mncr of the Arbitration Between Hosbedar Methta 96-05055 Names of liespondems PCM Sec cities Ltd., n/k/a Royal Palm Investments, Ltd. For Clatrunt; Russell L. Forkey, Esq. of the law firm of Russell L. Forkey, P. A., Fort Lauderdale, Florida, For Respondent Ira Dicapua

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Michael L. Richey, M.D., and David L. Shepard, M.D., Claimants, v. No. 96-05052 Gilbert Marshall & Company, Inc., Michael Usher, John Guyette, Thomas Patrick Meehan, Dena Halfacre, Brian Byer, and Tom Bronzan, REPRESENTATION OF PARTIES Claimants Michael L. Richey, M.D. and David L. Shepard, M.D. were represented by Michael L. Richey,

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant James M. Armor and 96-05050 Name of Respondent; PaineWebber, lac„ Steve Jensen REPRESENTATION OF PARTIES James M. Armor {"Claimant") was represented by Edwin L. Sisam, Esq., Minneapolis, Minnesota. PaineWebber, inc. ("Respondent PaineWebber") and Steve Jensen ("Respondent Jensen") were represented by Daniel Qberdorfer, E

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Nancy Watkins and Gregory Lee VanWert and 96-05038 Name of Respondent Westonka Investments, Inc. REPRESENTATION OF PARTIES Nancy Watkins and Gregory Lee VanWert ("Claimants") were represented by Richard I. Diamond, Esq., Diamond, Liszt & Grady, P.A.. Minneapolis, Minnesota. Westonka Investments, Inc. ("Respondent") did not appea

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between Kurt Novey Claimant, and No. 96-05034 Dickinson & Co. Respondent. REPRESENTATION OF PARTIES Claimant Kurt Novey, ("Novey") was represented by Robert L. Yeager, III., Esq. located in Dallas, Texas. Respondent Dickinson & Co., ("Dickinson") was represented by Barbara Bennett of Dickinson & Co. located in Des Moines, Iowa. CASE INFORMATION

Award NASD Dispute Resolution In the Matter of the Arbitration Between: Name of the Claimant Case Number: 01-02218 D. Paul Cohen Names of the Respondents Hearing Site: Boca Raton, Florida North American Institutional Brokers, Marcus Konig and Kenneth Lazar Nature of Dispute: Customer vs. Member and Associated Persons. REPRESENTATION OF PARTIES For D. Paul Cohen, hereinafter referred to as "Claimant": Martin H. Kaplan, Esq., Gusrae, Kaplan & Brun

AWARD NASD Regulation, Inc. Office of Dispute Resolution In the Matter of Arbitration Between David E. Faram and Gayle E. Faram, Jt. Ten. Claimants, and Case No. 96-05031 Charles Schwab & Co., Inc. Respondent. .AtJghWli^.NlW:^ - •: ., Claimants, David E. Faram and Gayle E. Faram were represented by: Ray L. Cox, Esquire located 1 Texas. ' : •- '• ----^ ';'•::• -- -- ;- • < .;•-*-'*-* ->, :,,.- ^ ; ,,^:.;.L^>-- , . .