Award NASD Regulation, Inc. In the Matter of the Arbitration Between Name of Claimants Facchina Construction Co., Inc. Verga, Waugh & Associates Charles W. McPherson Paul V. Facchina, Sr. Case No. 98-00214 Name of Respondents LA. Rabinowitz & Co. (n/k/a I.A.R. Securities, Inc.) Richard Gothers REPRESENTATION OF PARTIES Claimants Paul V. Facchina, Sr. ("Facchina"), Facchina Construction Co., Inc. ("Facchina Co."), Verga, Waugh & A

9:58flM M0.6B4 P.40 AWARD NASD Regulation, Inc. CASE: 98-00212 Douglas Myura vs. Charles Schwab & Co,, Inc. and Peter Curley. ATTORNEYS: For Claimant: Bradley F. Rothenberg, Esq. of Mintmiie and Associates, Palm Beach, Florida. For Respondents Charles Schwab & Co., Inc. ("Schwab") and Peter Curley ("Curley")* Sean B. Meehan, Esq. of Charles Schwab & Co, Inc., San Francisco, California. DATE FILJED^ Statement of Claim filed; May 14, 1998. Cla

N.A.S.D. REGULATION AWARD i i NASD Regulation, Inc. Office of Dispute Resolution In the Matter of the Arbitration Between Name of Claimant Khosro Daraiefard 98-00206 Name of Respondent E*Trade Securities, Inc. REPRESENTATION OF PARTIES For Claimant: Khosro Daraiefard represented himself, pro se. For Respondent; Ekwan E. Rhow, Esq. Bird Marella Boxer Wolpert & Matz Los Angeles, California. CASE INFORMATION Claimant's Statement

AWARD NASD Regulation, Inc. ' In the Matter of the Arbitration Between Name of Claimant Piper Jaffray, Inc. - and 98-00202 Name of Respondent Grace Marie Miles REPRESENTATION OF PARTIES Piper Jaffray, Inc. ("Claimant") was represented by Brian S. Hellberg, Esq., Piper Jaffray, Inc., Minneapolis, Minnesota. • " Grace Marie Miles ("Respondent") was represented by Anthony M. Englese, Esq., San Francisco, California. Neither Respondent nor h

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00201 Gary R. and Nancy June Nichols, Nancy June Nichols, IRA and Gary Robert Nichols, claimants vs. Merrill Lynch, respondent. ATTORNEYS: For claimants appeared Jane E. Marchand and Gary Robert Nichols - Jacksonville, FL. For respondent appeared Maura Kelly, Esq. - New York, NY. DATE FILED: 1/15/98 CASE SUMMARY: Claimants alleged failure to follow instruc

AWARD NASD Regulation, Inc. In the Matter of Arbitration Between Douglas Kahn, Claimant, and No. 98-0195 Southwest Securities, Inc. Respondents. REPRESENTATION OF PARTIES Claimant, Douglas Kahn, ("Claimant") was represented by Dean Carltan, Esquire of Fiedler, Adkin, Frank & Carlton P.C located in Dallas. Respondent, Southwest Securities, Inc. was represented by Corbet Bryant, Esquire of Carington Coleman Sloman & Blumenthal located in D

N.A.S.D. REGULATION AWARD , NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION, INC, CASE: 98-00190 James A. Scruggs, claimant vs. A.S. Goldmen & Co. Inc., respondent. ATTORNEYS: Claimant appeared Pro Se, Fresno, CA. For Respondent appeared Carole R. Bernstein, Esq., Norwalk, CT. DATE FILED: January 14, 1998 CASE SUMMARY: Claimant alleged that respondent failed to execute his sell orders according to his instructions, failed to provide a prospect

N.A.S.D. REGULATION, INC. AWARD CASE: 98 - 00184 Salseth Living Trust, claimant vs. Enerco Securities Corp., Mike Reno and Patrick W. Maloy, respondents. ATTORNEYS: For claimant appeared G. Mark Brewer, Esq. - La Jolla, CA. Respondents did no appeared. DATE FILED: 1/14/98 CASE SUMMARY: Claimant alleged breach of fiduciary duty, negligence, unsuitability. Claim Data Award Data Claim: $10,000.00 Award: $10,000.00 Punitive: Requested Punitive

N.A.S.D. REGULATION AWARD NATIONAL ASSOCIATION OF SECURITIES DEALERS REGULATION. INC. CASE: 98-00183 Richard Armerding, claimant vs. A.G. Edwards & Sons, Inc., respondent. ATTORNEYS: Claimant appeared Pro Se. - Rohnert Park, CA. For respondent appeared Norman Buckvar, Esq. - St. Louis, MO. DATE FILED: 1/14/98 CASE SUMMARY: Claimant alleged failure to execute. Claim Data Award Data Claim: $4,145,00 , Award: $4,000.00 Punitive: $.00 Punitive

Award NASD Dispute Resolution, Inc. In the Matter of the Arbitration Between Name of Claimant Sang Bok Chung Sang Bok Chung, IRA Case No. 01-01771 Names of Respondents White Discount Securities a/k/a Thomas F. White & Company, Inc. Claude Tillman Bo Flanders Hearing Site: Atlanta, Georgia REPRESENTATION OF PARTIES For Sang Bok Chung and Sang Bok Chung, IRA ("Chung"), hereinafter referred to as "Claimant": Alexander W, Jones,